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Risk and Compliance Officer

Phnom Penh

  • Organization: UNOPS - United Nations Office for Project Services
  • Location: Phnom Penh
  • Grade: Mid level - IICA-2, International Individual Contractors Agreement
  • Occupational Groups:
    • Legal - Broad
    • Banking and Finance
    • Audit
    • Ombudsman and Ethics
  • Closing Date: Closed

Background Information - UNOPS

UNOPS supports the successful implementation of its partners’ peace building, humanitarian and development projects around the world. Our mission is to serve people in need by expanding the ability of the United Nations, governments and other partners to manage projects, infrastructure and procurement in a sustainable and efficient manner.

Working in some of the world’s most challenging environments, our vision is to advance sustainable implementation practices, always satisfying or surpassing our partners’ expectations.

With over 7,000 personnel spread across 80 countries, UNOPS offers its partners the logistical, technical and management knowledge they need, wherever they need it.

A flexible structure and global reach means that we can quickly respond to our partners' needs, while offering the benefits of economies of scale.

Background Information – Cambodia

UNOPS established its Cambodia Office (KHOH) in early 2013 which oversees a diverse set of projects/programs that includes a multi-donor funded project to support the Extraordinary Chambers in the Courts of Cambodia (ECCC) known as the Khmer Rouge Tribunal, the Malaria Programs funded by the Global Fund to fight AIDS, Tuberculosis and Malaria (GFATM), the Regional Ardemisinin Initiative (RAI), advisory services to the Ministry of Agriculture, Forestry and Fisheries, Governance related projects funded by the EU as well as nutrition related initiatives.

UNOPS KHOH is also overseeing business activities and providing support and services to UNOPS operations in other countries, especially within the Mekong Region and the Philippines.

UNOPS KHOH is in the process of expanding its area of engagement in cooperation with its development partners, focusing mainly on a portfolio comprised of projects and programs in the infrastructure, governance, procurement, justice and agricultural sector and subsequently is looking for qualified and committed experts.

Background Information - Job-specific

The Principal Recipient programme (PR) under the UNOPS Asia and Pacific Regional Office has been established to support, develop and oversee UNOPS’ programmes implemented with GFATM financing in the Region to ensure that synergies between different programme components are effectively developed.

The PR’s Cambodia team works in close cooperation with Regional PR teams to ensure the effective grant management and coordination of in-country GFATM grants as well as, in- Regional Principal Recipients of GFATM regional grants for Greater Mekong Sub-region (Cambodia, Laos, Myanmar, Thailand and Vietnam).


Work life harmonization UNOPS values its people and recognizes the importance of balancing professional and personal demands. We have a progressive policy on work-life harmonization and offer several flexible working options. This policy applies to UNOPS personnel on all contract types.

Functional Responsibilities

Under the direct supervision of the Program and Finance Support Officer and overall management of Programme Coordinator, the Risk and Compliance Officer will aim to:

a)      Ensure effective controls are in place on the use of Global Fund grant monies and that all payments are eligible, justified and represent value for money;

b)      Ensure that financial records for all transactions are maintained accurately and on a timely basis;

c)      Mitigate the risk of fraud or misuse of grant funds and reduce the ineligible expenditures reported by the Office of the Inspector General (OIG) and the Local Fund Agent (LFA);

d)      Ensure the continuity of the program implementation in high risk environments and that safeguards are in place with respect to Global Fund investments;

e)      Ensure that reporting to the PR is accurate, timely and in accordance with the PIP- and Grant Agreement and the applicable policies and regulations of the Global Fund.

The Risk and Compliance Officer will be embedded at the National Center for Parasitology, Entomology and Malaria Control CNM and closely working with the CNM finance team. S/he will be also working with UNOPS Finance Associates-Compliance and Monitoring working at the National Center for Parasitology, Entomology and Malaria Control (CNM) to improve and strengthen the overall financial management.  The Risk and Compliance Officer will ensure the quality and compliance of the financial implementation of the program and will perform the following specific duties and responsibilities at CNM:

Financial Compliance: Risk Management

  • Ensure that there is an effective system of internal controls in place in order to prevent and detect fraud, misappropriation and misapplications. In particular with regards to travel related costs (TRC),
    • there is an effective tracking mechanism to follow staff movements and whether the amount of travel is justified and is in line with the budget and applicable laws,
    • Ensure that travel is approved by authorized personnel,
    • Travel claims are submitted correctly with all required supporting documents attached as per Travel Related Cost Guidelines.
  • Recommend improvement for effective internal control mechanisms to ensure adherence to the Finance Manual, Program Management Guidelines (PMG)/Standard Operating Procedures (SOPs).
  • Carry out periodic risk assessment and test whether the controls in place respond to the risks identified.
  • Ensure effective internal controls are in place for the preventive measures and quality actions are taken on the recommendations after verification exercises and actively follow-up of GF recommended management actions.

Financial Management and procedures:

  • Monitor CNM’s compliance with UNOPS Financial Rules and Regulations, Global Fund financial rules, policies and  Financial Manual and financial management, accounting rules and practices established in Cambodia to mitigate the risk of fraud or misuse of grant funds and reduce the ineligible expenditures.
  • Ensure that there is clear adherence, application and understanding of the content of the Finance Manual, Programme Management Guidelines (PMG),
  • Ensure that CNM internal finance management and administrative guidelines are aligned with GF guidelines/PMG.
  • Conduct regular meetings among relevant CNM departments to ensure standardization and coherence in the day-to-day functions related to internal financial management and controls within CNM and ensure timely implementation of corrective measures.

Financial Compliance: Verification of Transactions:

  • Oversight on expenditure of national program (CNM) to ensure that they are in accordance with the approved budget and work plan and in full compliance with the SOPs and Finance Manual.
  • Ensure that all transactions are supported by original Documentation.
  • Quality review of the payment processed to minimize audit and LFA findings.
  • Conduct periodically cash count and surprise cash count.
  • Review and improve the existing process flow to ensure that approvals related to payments are processed in a timely manner in consultation with the line manager at UNOPS and relevant management units in CNM.
  • Provide guidance to national program and sub national offices in developing budget plan, financial expenditure report on a timely manner and with quality.
  • Ensure that there are controls in place to separate grants funds from other sources of funds.

Financial Compliance: Accounting:

  • Ensure that books of accounts are kept and reporting is done according to the Grant Agreement and generally accepted accounting principles in Cambodia.
  • Ensure that all transactions are appropriately coded and recorded so that the required data for the Annual Financial Report (AFR) and for Progress Update and Disbursement Report (PUDR) is generated automatically with minimal manual intervention.
  • Ensure that monthly bank reconciliations and reviews of accounting entries are performed.
  • Oversee the month-end close-out procedures performed in the accounting system and support CNM in conducting annual fixed asset verification.
  • Monitor and report on measures taken by the CNM to ensure that the Grant funds under the Grant Agreement are free from taxes, and duties imposed under the laws of Cambodia, as provided for in the Grant Agreement.
  • Support the CNM to ensure that a system to track tax exemptions and reimbursements is in place and shall ensure that the CNM takes all necessary steps to obtain reimbursement for taxes where direct exemption is not available

Capacity Building:

Take initiative to identify weaknesses, challenges, legitimate solutions to simplify the process, design financial control tools, provide feedback, share best practice in accounting, financial management/reporting through on going capacity building  exercises to the national program Reporting:

  • Ensure accurate and timely preparation and submission of periodic program and financial reports, including, Quarterly Financial Reports (QFR), Progress Update and Disbursement Request (PUDR, Annual Financial Report (AFR) and Annual Financial Statements.

Audit:

  • Facilitate and coordinate with annual external audit and follow-up on audit recommendations.
  • Provide support to UNOPS' Internal Audit and Investigation Group on data or field visit requirements.

Other:

  • Perform other relevant duties as required by supervisor and by the Global Fund.
  • Submit periodic report (monthly) of the improvement in internal controls, financial management and identified issue and risk within CNM to the Programme Coordinator.

Competencies

Develops and implements sustainable business strategies, thinks long term and externally in order to positively shape the organization. Anticipates and perceives the impact and implications of future decisions and activities on other parts of the organization.
Treats all individuals with respect; responds sensitively to differences and encourages others to do the same. Upholds organizational and ethical norms. Maintains high standards of trustworthiness. Role model for diversity and inclusion.
Acts as a positive role model contributing to the team spirit. Collaborates and supports the development of others. For people managers only: Acts as positive leadership role model, motivates, directs and inspires others to succeed, utilizing appropriate leadership styles.
Demonstrates understanding of the impact of own role on all partners and always puts the end beneficiary first. Builds and maintains strong external relationships and is a competent partner for others (if relevant to the role).
Efficiently establishes an appropriate course of action for self and/or others to accomplish a goal. Actions lead to total task accomplishment through concern for quality in all areas. Sees opportunities and takes the initiative to act on them. Understands that responsible use of resources maximizes our impact on our beneficiaries.
Open to change and flexible in a fast paced environment. Effectively adapts own approach to suit changing circumstances or requirements. Reflects on experiences and modifies own behavior. Performance is consistent, even under pressure. Always pursues continuous improvements.
Evaluates data and courses of action to reach logical, pragmatic decisions. Takes an unbiased, rational approach with calculated risks. Applies innovation and creativity to problem-solving.
Expresses ideas or facts in a clear, concise and open manner. Communication indicates a consideration for the feelings and needs of others. Actively listens and proactively shares knowledge. Handles conflict effectively, by overcoming differences of opinion and finding common ground.

Education

  • An Advanced University degree in the area of  finance, audit, accounting or any related field is preferred;
  • A Bachelor degree in the area of finance, audit, accounting or any related field is in combination with additional 2 years of experience may be accepted in lieu of the advanced university degree.

Skills

  • Financial and compliance auditing (5 years)
  • Financial Management (5 years)
  • Financial Reporting (3 years)
  • Development of Finance Tools (3 years)
  • Facilitation in capacity-building workshops  (2 years)
  • Project Management
  • International Development Sector experience.

Certifications

  • Certification as a Certified Public Accountant (CPA), Chartered Accountant (CA), Certified Internal Auditor (CIA) or equivalent highly desirable.

Experience

  • A minimum of 5 years of progressively responsible experience in financial compliance, audit, internal audit, accounting, and risk management at the national or international level with a Master degree or 7 years of experience with a Bachelor degree.
  • Experience with audits of development aid programmes or the projects funded by international donors and institution is required.
  • Experience in the use of ERP accounting software packages preferably SUN accounting systems is desirable.
  • Strong communication and interpersonal skills is preferable.
  • Good knowledge of donor organizations and experience in working with Public Institutions would be  an asset
  • Previous experience with the Global Fund to Fight AIDS, Tuberculosis would be an asset.
  • Strong experience in South East Asia region is preferred.

Languages

  • Fluency in written and oral English is required. 
  • Knowledge of Khmer is desirable.

Contract type, level and duration

Contract type: International Individual Contractor Agreement
Contract level: IICA 2
Contract duration: from the starting date to 31 Dec 2018. Renewable subject to satisfactory performance and funding availability

For more details about the ICA contractual modality, please follow this link:
https://www.unops.org/english/Opportunities/job-opportunities/what-we-offer/Pages/Individual-Contractor-Agreements.aspx

Additional Considerations

  • Please note that the closing date is midnight Copenhagen time (CET)
  • Applications received after the closing date will not be considered.
  • Only those candidates that are short-listed for interviews will be notified.
  • Qualified female candidates are strongly encouraged to apply.
  • For staff positions only, UNOPS reserves the right to appoint a candidate at a lower level than the advertised level of the post
  • The incumbent is responsible to abide by security policies, administrative instructions, plans and procedures of the UN Security Management System and that of UNOPS.  

It is the policy of UNOPS to conduct background checks on all potential recruits/interns. Recruitment/internship in UNOPS is contingent on the results of such checks.

This vacancy is now closed.
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