Key Roles and Responsibilities
Compliance Functions
Works with the COP and HQ to develop a targeted, risk-based, and coherent annual compliance review plan, disseminates the plan to management and core operations teams and ensures strict adherence/implementation of the plan within the stipulated timelines
Reviews various areas of AFYA Jijini transactions and operations including grants, procurement , Finance , IT , HR as determined by the risk assessment and for conformity and compliance with policies, US Government Auditing Standards and USAID rules and regulations generally accepted accounting principles, as applicable.
Work with the program teams to ensure compliance with any other donor requirements e.g. Family Planning compliance, Environment compliance and reporting requirements.
Work with HQ and program team to draft and prepare donor requests for approvals
Provide expert advice and timely guidance/analysis on USAID rules and regulations, applicable contract clauses, etc.
Ensures that all audit/compliance findings are tracked and is responsible for monitoring implementation status by the various managers, and will report on implementation status on a regular basis
Sub Grants
Provide oversight to the Grants and Sub Contracts Manager in his/her functions
Induct all sub grantees on USAID rules and regulations and other compliance related matters.
Carry out periodic spot checks on a sample of sub awards for compliance with sub award agreements, financial reporting, and internal controls and recommend improvements as needed.
Carry out end of project audits for a sub awards.
Participate in the process of external audits and assist with follow-up and closure of audit findings.
Work with the Grants and Sub Contracts Manager in finalizing the RFAs
Work with the COP in seeking the various CO’s approvals for RFA publications and other needs per Grants Manual
With the Grants and Contracts Manager lead the Grants Selection Process and approve all the necessary documentations for sharing with HQ
Lead the Monitoring of the sub grantees on their implementation
Review and develop documentation for seeking approvals for extension or increased funding for all sub grantees where necessary
Sub-Contractors Functions
Plan for supervision and monitoring of all the sub contracts on the compliance issues
Provide oversight of sub-contract management, close out, termination, etc.
Provide oversight of sub-contract annual performance assessment and reporting
With the COP and DCOP, reviews the SOW of all the Sub contractors at the time of extension or termination of the sub contracts
Lead compliance visits to the Sub Contractors
Internal Control Testing
Review the adequacy and provide recommendations on the internal control system with regards to procurement; management of supplies and equipment; fixed assets; advances; cash and bank controls; Information technology; participant training; human resources; budgeting; travel and advances.
Review accounting records for adequacy of documentation, safety and ease of availability.
Design and implement an appropriate monitoring schedule to verify the accuracy and validity of planned payees and training participants. Conduct spot checks at training courses, meetings and other payment sessions to confirm that the recorded participants agree with the actual numbers among other audit objectives.
Ascertain accuracy of financial reports submitted by AFYA Jijini. Periodically review financial reports submitted for accuracy – both internal (management accounts/reports) and external (donor reports & financial statements
In conjunction with the HQ conduct investigations related to suspected fraud, ensuring timely completion of investigations and proactive status updates with key stakeholders, while maintaining confidentiality
Reporting and Communication
For all internal audit assignments and compliance reviews carried out, prepare concise reports detailing finding, risk and recommendations. Ensure that there are management comments solicited for every condition and recommendation given.
Carry out follow-up exercises to ensure that all recommendations made during the internal audit exercises are implemented and if necessary organize for training to fill any gaps
Support Institutional learning, capacity building and strengthening risk management and compliance
Serve as an expert on applicable policies, procedures, rules, and regulations
Develops an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
Organize and conduct regular internal orientations to staff on IMA policies e.g. fraud policy, whistle blower policy, conflict of Interest and USAID rules and regulations as well as any policy changes/updates.
Risk Management
Develop, update and follow up of the risk matrix for an improved control environment and reduce exposure.
