Reporting To: The Executive Director
Working with: All Departments i.e. Finance, Human Resources, ICT, Programs, Communication & Advocacy, Operations (Logistics & Procurement); Program Directors and Country Directors
SUMMARY
The Senior Compliance Officer will report to the Executive Director by assessing, monitoring and addressing the status of internal controls and all compliance aspects in Adeso.
The post-holder will undertake real time risk analysis of Adeso operations with regards to adherence to internal controls and donor compliance and will provide targeted context-specific sensitization, prevention measures and guidance on minimizing all major risks. Key to this will be the compilation of an operational risk register with detailed action plans and continuous updates on risk rating and mitigation activities.
S/he will be responsible for providing efficient and effective management of the programme’s overall grant portfolio. S/he will be member of the country programme core Senior Management Team responsible for ensuring appropriate grant management, ensuring compliance with donor and internal organisational requirements and overseeing information management related to grant and programme implementation.
S/he will have authority to implement all necessary agreed actions to ensure achievement of the objectives of the compliance program. S/he will also make recommendations for the Senior Management Team to ensure on-going compliance.
POSITION PURPOSE
The purpose of this role is to work alongside the country and programme management teams and in close co-operation with the Finance, Procurement and Human Resources units to minimize operational risks in relation Adeso operations; specifically risks that arise from non- compliance with Adeso global policies and non-compliance with donor regulations
The Senior Compliance Officer will also perform on request investigations in relation to fraud, corruption and bribery and promote adherence to related policies.
SPECIFIC ROLES AND RESPONSIBILITIES
Donor compliance and Grant Management systems:
Lead the preparation and implementation of the annual work plan of the Compliance and Oversight Unit to ensure work priorities and objectives, taking into account the most effective use of resources;
Ensure full compliance with Adeso policies and procedures and minimum operating standards for grant management, Internal controls and work with implementing partners when required;
Implement and manage Adeso processes for grant management, equitable cost recovery, grants close out and sub-grant management when required;
Work with Budget Holders and Finance Team to monitor all grant budgets to ensure compliance with donor requirements; review budget realignment and grant request; and also monitor expenditures to ensure compliance with budgets;
Organise and participate in grant opening, mid-term review and closure meetings and develop, with support of the Country Directors, a mechanism to hold
Budget Holders accountable for deviations from the grant contracts;
Act as a central point of organisational expertise on donor compliance requirements, ensuring that relevant staff of all departments are informed of donor requirements; work closely with all departments to ensure compliance. Provide technical support to assess donor eligibility/allow ability of planned expenditures and identify related compliance requirements;
Verify that financial reports are coherent and adhere to donor and Adeso standards before submission;
Develop models to detect unusual activity; Review processes templates and procedures, including those associated with monitoring and evaluation;
Assess compliance to internal procedures, controls mechanisms of Adeso policies and procedures, donors requirements, and Government regulations, and ensure supporting documentation is exhaustive and consistent.
Risk Management
Document, evaluate and test systems and controls to determine their adequacy and effectiveness towards:
Compliance with rules and regulations,
Accomplishment of management’s objectives,
Reliability and integrity of information,
Efficient use of resources, and
Safeguarding of assets.
Monitor risks related to the achievement of Adeso financial and non-financial objectives and ensure the alignment of risk management framework with the internal control measures;
Mitigate the risk of misuse of donor funds and ensure that an effective internal control mechanism is in place to prevent and detect fraud. Manage cases of reported, suspected, and occurred fraud across Adeso’s operations;
Ensure accurate and timely preparation and submission of periodic reports on issues and any material weaknesses identified during the review period.
Internal Control Review:
Coordinate the development, implementation and review of the organisational internal control strategy;
Quarterly travel to Adeso field office to review the control in place and suggest any improvement if needed;
Perform systems audit of Adeso offices and ensure that all supporting documents, proposals, contracts and amendments with donors follow the internal procedures;
Disseminate donor and Adeso standards to relevant personnel at the beginning of the process;
Ensure that a system is in place to analyse overhead and shared programme cost so that all aspects have been taken into account (checklist);
Submit monthly compliance report to his/her supervisor.
Training:
Ensure Budget Holders, Finance Officers and field staff are provided with the information and training they require in order to understand donor guidelines, compliance issues and the Adeso grant management and internal control procedures;
Conduct regular visits to field offices and project sites;
Conduct internal audits of grants processes and protocols to advise Budget Holders on compliance levels in the field bases;
Ensure key donors compliance checklists are available, provide orientation to Budget Holders and follow up the implementation;
Developing staff and providing guidance and technical advice where necessary.
Audit:
Ensure that all grants are audited as per donor rules and regulations;
Conduct special management reviews and assist in the follow-up on the implementation of the internal/external audit recommendation, updating the audit tracking tool;
Assist the Finance Manager and Adeso programs management in responding to internal audit requirements.
Other
Contribute to the country strategic and operational planning and reporting;
Provide regular briefings to the Adeso management regarding programme/operational matters and general systems controls;
Review Funding Agreement Documents (FAD) for approval by management at submission and grant award.
SKILLS AND QUALIFICATIONS
Essential:
Bachelor’s degree from a reputable university, an advanced degree will be an added advantage;
Minimum of 5 years work experience in a reputable professional services firm, large international NGO or donor organisation involved in grant management;
Experience of managing USAID funds and ensuring compliance with USAID requirements.
Knowledge of compliance requirements for major donors, including USAID, DFID, ECHO, EU and ability and skills to establish compliance systems with Adeso staff.
Understanding of risks and related relevant controls primarily in the overall grant cycle including programme, financial and procurement cycles and effectively mitigates these;
High level skills in written standard English and ability to transform documents and reports developed by programme staff into dissemination standard documents
Ability to present, discuss and supervise compliance with grants monitoring protocols with team members of varying levels
Demonstrated ability to develop and maintain effective project files for accountability and audit purposes
Professional qualifications; ACCA or CPA;
Certification in Internal audit or Risk management will be added advantage.
Desirable:
Extensive experience of managing grants with donors and working with civil society organisations.
Advanced skills in coaching, mentoring, capacity building, team development, around management of accountability and compliance in relation to donor funding.
Ability to work as a team with program staff at all levels without holding any direct line management authority.
Demonstrated ability to lead teams with members of extremely varied skills, experience and backgrounds.
Ability to and experience of establishing partnership management and monitoring protocols with local NGO partners
Demonstrated ability to remain positive and productive in a harsh climatic environment.
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