About Acted
Duties and Responsibilities
- Management of the FLATS and program compliance process
The Compliance Officer must know ACTED’s policies and procedures and must ensure that they are properly implemented throughout his/her hub. S/he must independently:
- Plan and coordinate the hub’s compliance tasks: monthly compliance reviews and relevant ad-hoc spotchecks of his/her hub FLATS and program departments;
- Propose significant and relevant samplesto be used as a basis for monthly compliance reviews;
- Review the results and analyses arising from the compliance reviews and ad-hoc spotchecks in order to share lessons learned with therelevant departments, validated by Capital T&C team and HQ;
- Plan and coordinate the monthly monitoring of the actionplan for implementing the AUD-05 recommendations in collaboration with the relevant departments;
- Report to the line management any difficulties encountered by each department in implementing Acted procedures.
- Report risky compliance alerts or suspected fraud to the T&CM;
- At the request of his/her direct supervisor or the T&CM, participate in partner due diligences and organize monitoring of the implementation of risk reduction plans.
- Ensure information needed to consolidate the monthly compliance report and the related capital annexes (MCR) is shared with capital (FLA-04, FLA-02, FLA-05, FLA-06, AUD-05 and lessons learnt)
On baseswithout compliance assistant also :
- Collect, based on the relevant sample, the necessary documents from the departments and ensure the qualityof the organization of their physical and digitized filingsystems, in accordance with FLA-01 guidelines;
- Complete the FLA-02″Compliance checklist” on amonthly basis to ensure that FLATS documentation is compliant, report any non-compliant issues, propose corrective action plans and improvement suggestions where necessary;
- Carry out monthly “Quotes & Invoices Investigation” (FLA-05), analyze results and report any fraud risk;
- Complete the FLA-06 “Staff files checklist” on a monthly basis to ensure that personnel files are compliant, report anynon-compliant issues and proposecorrective action plansand improvement suggestions where necessary;
- Ensure the implementation of compliance tasks associated with expenditure (including supply chain traceability, market survey, review of FLATS and program documentation, etc.) ;
- Produce the relevant ad-hoc spotchecks for the hub FLATS and program departments.
- Preparing, carrying out and monitoring external audits
The Compliance Officer must be familiar withthe external auditprocedures for eachof the projects implemented and ensure that they are properly prepared, implemented and monitored. S/he must independently:
- Manage the external audit preparation related to projects expenses and implemented process;
- Coordinate the submission of supporting documents requested by the external auditors by checking the “Compliance Checklists” (FLA-02) completed by the Compliance Assistant and the supporting documents;
- Contribute (if required) on drafting the external audit follow-up files(AUD-01) and to the preparation and dissemination of lessons learned and good practice;
- Identify and communicate risks, draft lessons learned and propose recommendations to be incorporated into the management of the FLATS and program compliance process and followed on AUD-05 after T&CM validation ;
- Participate (if requested) in the preparation of responses to these reports in conjunction with the Capital T&C team ;
- Coordinate the follow-up of external audit recommendations implementation with the departments concerned.
Onbases without a compliance assistant also :
- Help to facilitate each external audit, by collecting, consolidating, and reviewing the selected supporting documents, identifying and rectifying any anomalies and sending the “Compliance checklists” (FLA-02) to his/her direct supervisor.
- Preparing, carrying out and monitoring internal audits
The Compliance Officer is responsible for assessing and strengthening the level of compliance of the various departments in eachof the basesin his/her hub by implementing the internal auditplan once shared and validated by the T&CM. S/he must work independently:
- Identifying the maincompliance risks and issues inherent in its hub in orderto propose therelevant reviews to be included in the internal audit plan (AUD-06);
- Preparing the Terms of Reference (AUD-03) and sending them to his/her direct supervisor and to T&CM for validation prior to any internal audit;
- To plan and supervise internal audit assignments in accordance withthe audit plan(AUD-06) and the ACTED internal audit methodology by developing the necessary testing tools;
- Review the work (AUD08 and testing files), the action plan (AUD-04B) and the audit report (AUD-04A) for validation by his/her direct supervisor and T&CM before sharing it with the departments concerned;
- Update the internal audit recommendation tracking file (AUD-05) withvalidated recommendations;
Onhubs without a compliance assistant also :
- Carry out internal audit in accordance with the auditplan (AUD-06) and the ACTEDinternal audit methodology (by completing the internal audit checklists and documenting each review using the associated testing files or by developing them);
- Draft the action plan (AUD-04B) and audit report (AUD-04A) following each internal audit, identifying anomalies, and proposing associated recommendations for validation by his/her directsupervisor and T&CM, before sharing it with the departments concerned.
- Training sessions / lessons learn / best practices
The Compliance Officer will help to improve compliance competences by proposing training sessions on specific process in the procedures, based on internal and external audits compliance review conclusions. S/he will :
- Provide practical training on specific aspectsof ACTED procedures;
- To contribute to the proactive dissemination and use of lessons learned during audit activities (internal and external audits) among national and international staff.
- Process improvement : In collaboration with the departement involved, reinforce current procedures and the quality of ACTED internal control, based on international best practices, donors’ requirements, and results of internal & external audits.
- Internal Coordination
- Supervise the compliance assistants by monitoring action plans and day-to-day activities;
- Review the workof the compliance assistant (if any)and provide full written feedback on their work;
- Ensure training and capacity building for the Compliance team members to increase the technical ability and skills within the department.
- Transparency
- Participate in minimizing risk of fraud and corruption by ensuring adherence to Acted FLATS procedures, Acted Code of Conduct and ACTED Policies;
- Upon request of the Capital T&C team, participate in Fraud cases investigations;
- Actively promote Acted’s anti-fraud and whistle blowing policy within all Acted offices in the hub.
- Other
- Provide regular and timely updates on progress and challenges to the direct line manager and Capital T&C team;
- Warn the direct line manager and Capital T&C team in case some major problems arise with a potential financial or reputational impact on the mission;
Perform any other related activities as assigned by immediate supervisor or the capital T&C team.
KEY PERFORMANCE INDICATORS
– % of risks identified during external audits already flagged during monthly review
– % of timely submission of the hub’s monthly compliance reports.
– % of ongoing project with external audit risk covered by the monthly review
– % of project categories of expenditures reviewed in the compliance review
– % of project expenditures reviewed in the compliance review
– % of employee files reviewed in the compliance review.
– % of implementation of external and internal audit recommendations or reported as difficult to implement with mitigation measure
– # of monthly contributions to the planning of the hubs audit plan.
– # of targeted program spot checks proposed and conducted on a bi-annual basis.
– # of targeted FLATS spot checks proposed and conducted on a bi-annual basis.
– Frequency of updating tracking tools (lessons learned, recommandation, internal and external audit).
– Frequency and quality of trainings provided to the assistants s/he is responsible for.
– Frequency of sharing and follow-up of recommendations with relevant departments
– Quality and relevance of the lessons learned written up based on the work carried out/reviewed and anomalies identified
– # of testing tools developed for specific ad-hoc spot checks
– Regularity and quality of feedback to the assistant for whom s/he is responsible
– # of good quality ToRs and internal audit reports submitted
– # of meeting conducted with the partners for RMP follow up
QUALIFICATIONS
- Postgraduate diploma in Audit, Finance, International Relations, Law or in relation with the position.
- 1-2 years of previous work experience in Audit (external and/or internal), Finance, Logistics, Administration or Law.
- Strong negotiation and interpersonal skills, and organizational terms.
- Demonstrate flexibility, dynamism, and autonomy.
- Ability to work well and under pressure.
- Excellent communication and writing skills in English.
- Experience in management and training is a plus.
Strong analytical skills