Compliance Officer

1. GENERAL OBJECTIVE

The objective of the Compliance Officer position is to make sure that quality standards are met in the implementation of humanitarian intervention, by conducting internal audits, assisting in the preparation for the external audits and visiting the bases to do spot checks whenever needed.

S/he will also assist the Compliance Specialist in providing technical reference for the bases in Lebanon about standards to be reached in terms of controls, processes, compliance to the organization’s procedures, Donors’ procedures and good practices.

1. RESPONSABILITIES AND TASKS

Role and Responsibilities                  

1. COMPLIANCE ROLE

1. Ensure compliance with PU-AMI Policies, handbooks and guidelines and donor rules and regulations as well;
2. Evaluate the soundness, adequacy, and effectiveness of current in country practices against PU-AMI’s operational standards as expressed in the various policy documents, handbooks and other guidelines in the areas of programme, finance, HR, administration, logistics, etc.
3. Assist in the development of a regular spot checking compliance system and field visits and ensure its proper implementation.

1. INTERNAL CONTROL

1. Assist in the design of all tools required for internal control work (i.e. working papers, reporting format, forms, templates, protocols, etc.).
2. Ensure that the Mission’s recommendation tracker produced from internal and/or external audits, review, checks, KPIs, investivations, complaints and feedback mechanism reports, etc. is updated regulary and proper follow up is made;
3. Assist in updating the internal control framework of the Mission including but not limitted to SOPs, guidelines, procedures, etc.
4. Assist in developing guidelines on how to draft SOP, the content & template of SOP, and responsabilities of updating, drafting and approving SOPs.
5. Maitain the Mission’s SOP register in addition to the shared folder that includes all Mission’s SOPs.

1. INTERNAL AUDIT

1. Prepare checklist for the different departments as per the internal procedures and donors’ regulations;
2. Support in preparing an internal audit plan/program;
3. Conduct internal audits at the bases and coordination along with spot-checks;
4. Regularly report the different gaps/non-compliance issues to line manager;
5. Help in providing improvement actions to comply with the regulations and ensure that action plan is being followed closely.
6. Centralize all internal recommendations and support in setting timeframes for the implementation of the corrective actions with the respective person in charge;
7. Follow up on the implementation of the corrective actions.

1. EXTERNAL AUDIT

1. Liaise and follow up with the different departments for the collection of the requested documents;
2. Support the different departments in the audit preparation when needed;
3. Assist in checking the supporting documents before sharing it with the external auditors;
4. Support in preparing an external audit plan for the expected audits;
5. Assist in checking/reviewing the external audit reports and updating the Mission’s recommendation tracker;
6. Assist departments in preparing action plans to implement recommendations as per audit reports or management letters.

1. ARCHIVING

1. Assist in developing the mission’s Archiving standards, to ensure proper safeguarding of the all supporting documentation generated at mission level and ensure that developed standards are  understood and properly implemented;
2. Assist in designing and implementing the online/digital archiving system to ensure that supporting documentation are scanned on time and available at all time for any review/audit;
3. Prepare proper follow-up for digital archiving and perform spot checks on each department's digital archiving;
4. Ensure physical archiving is done as per PU-AMI standards, perform spot checks to check the quality of physical archives and share the findings with the line manager.

1. RISK MANAGEMENT

1. Support in identifying and classifying risks to the country's operation,  documentation, and determining appropriate mitigation measures to mitigate such risks, including timely and periodic completion of the Mission risk register.Regularly assist in updating the risk register including progress against actions and mitigation measures;
2. Contribute to the development of adequate compliance and quality control mechanisms of PU-AMI operations particularly regarding Data Protection, sanctions and counter-terrorism legislation;
3. Work closely with risk owners and assigned focal points to update and report on their mitigations measures.

1. ANTI-CORRUPTION

1. Ensure delivery of regular trainings and refreshers on Anti-Fraud and Anti-Corruption are delivered to all Mission’s staff;
2. Assist in the Corruption Risk Mapping for the Mission on Yearly basis. Ensure proper follow up on mitigation measures across all departments;
3. Ensure follow up on the completion/implementation of the recommendations arising from investigations;
4. Participate in investigation processes when requested and as deems necssary.

The tasks and responsibilities defined in this job description are non-exhaustive and can evolve depending on the project’s needs.

1. PRIORITIES OF THE DEPARTMENT

1. Develop a comprehensive and detailed Risk Management process;
2. Conduct internal audits after developing respective checklist per department, and setting an audit plan with respective control frequency;
3. Help in setting a well-defined archiving system;
4. Help in setting an Anti-Fraud and Anti-Corruption action plan at a Mission level.

1. CRITICAL INTERFACES: RELEVANT INTERFACES FOR THIS POSITION ARE:

1. All PU-AMI Lebanon program staff;
2. All PU-AMI Lebanon Operations and Support Staff;
3. Auditor (internal and external);
4. PU-AMI Partners;
5. HQ staff/colleagues.

QUALIFICATIONS

MANDATORY REQUIREMENTS

• Language skills: Fluent in Arabic and English both spoken and written.
• Education degree: Bachelor Degree in Audit or other relevant field such as Finance, Business Management, etc.
• Work experience: Minimum 3-years of experience working as an auditor/compliance role, preferably including experience in an internal audit / compliance / Risk function and in the NGO sector.
• Knowledge and skills: Donors’ Rules and Regulations, National Legal Regulations, Financial/Accounting/Procurement/HR procedures in INGOs.
• Computer skills: Good knowledge of Microsoft Office.
• Other: Knowledge of humanitarian actors.

assets

• Interests: Work in humanitarian action and motivation to help people in need.
• Transversal skills:

• Excellent communication and diplomacy skills
• Effective stress management
• Ability to work under pressure and with short deadlines
• Good problem-solving skills
• Excellent ability to work in a team
• Well organized, hard worker and fast learner
• Respectful, neutral and impartial attitude