Internal Control & Compliance Officer
The Internal Control and Compliance Officer supports the Deputy Director of Finance in planning and undertaking the work of the Country Office Internal Control functions ,coordinates risk management systems and processes, works with all other Departments and staff to mainstream risk management policy and practice, does compliance reviews using the available tools, support the Deputy Director of Finance in ensuring that internal controls are working and ensuring that all internal / external audit recommendations are implemented.
Duties and Responsibilities
Risk Management and Compliance
- Coordinate and facilitate the effective implementation of the overall organizational risk management system, including its review and monitoring.
- Coordinate and facilitate the identification and classification of risks to the country operation, the documentation of these, and the determination of appropriate actions to appropriately manage / mitigate such risks. This includes the timely and periodic completion of the Country Office and Program Area risk registers and Issue logs
- Support and facilitate the monitoring of progress towards agreed risk management / mitigation actions, such that remedial actions can be taken in a timely way as and when necessary.
- Draw periodic schedules to carry out spot checks on cash, stores, and warehouses across the field offices and in Kampala, and develop reporting tools
- Ensure compliance to IRC global policies and carry out periodic reminders to staff on violation of such polies
- Support and facilitate the monitoring of progress, and the evaluation of effectiveness, of all agreed actions arising from the findings and recommendations of Country office Assurance reports, documenting progress in periodic Audit Action List reports and making linkages to the content and oversight of the Country Office and Program Area risk registers.
- Support and ensure the country office complies with all the local laws including taxation, social security, labor laws among others and various donor rules and regulations
- Prepare a master list of all required compliances to internal policies and procedures, external compliances to donors and government; ensure that IRC Uganda fully meets all the required compliances; monitor it regularly and submit a monthly report to DDF.
- Prepare and regularly update the Master list of all audit actions, follow up with all action owners on regular basis, update the progress on audit actions and share it on monthly basis to SMT and other relevant colleagues.
- Perform compliance reviews to assess office compliance with all financial, accounting, legal, performance requirements, regulations, policies, and policies.
- Support and facilitate continuous reflection and learning with regard to the risk management system, as a means towards continuous refinement and enhancement. This includes learning from interaction with other IRC countries and with external parties, and from internal reviews and other relevant initiatives such as specific case investigations.
- Provide resources and information on compliance requirements. Prepare and make formal presentations, as needed, for internal and external stakeholders.
- Carry out internal control reviews of the country office including field sites using existing tools such as Field Financial Assessment Tool (FFAT)
- Develop an annual calendar, ToRs and conduct internal control reviews of all Departments in IRC Uganda. Prepare a clear report with action plans and share with concerned staff members and the Deputy Director of finance for SMT presentation and action.
- Review compliance with established key controls in all areas of business including program, finance, sponsorship, resource acquisition and grant management, human resources, IT, partnerships, logistics, and in any other area of business as relevant.
- Prepare reports for management following reviews of compliance and the effectiveness of policies and procedures, support and facilitate appropriate response to identified gaps or shortcomings in the control environment, including the monitoring of progress against agreed follow up actions.
Provide Technical Contracts/Grants Knowledge and Management
- Liaise with Grants team and global Compliance staff to monitor donor regulations and policies for changes affecting the program providing management with timely updates on such changes.
- Review funded agreements to identify regulatory, contractual, legal, and financial compliance requirements associated with donor funding.
- Ensure accountability and transparency to key stakeholders through the enforcement of donor rules and regulations in financial and progress reporting.
Monitor and Support Grantees/Partners
- Monitor contract and contractor grantee performance to ensure compliance with the terms and conditions of grants.
- Support grantees to improve their administrative performance and reduce the risk to the project and the IRC.
- Oversee the conducting of targeted in-depth risk assessments of sub-grant programs producing reports which will include recommendations for corrective action and the level of assistance, if any.
- Participate in the planning and delivery of technical assistance for start-ups and administrative close-outs of sub-grant programs by utilizing the necessary tools, templates, and procedures.
- Participate in the development and delivery of training curricula to address partners training needs ensuring that staff is fully aware of all relevant and appropriate internal and external financial and compliance information.
- Provide targeted capacity building to partners through coaching and mentoring initiatives.
- Review selected activities of selected partner organizations to ensure that they are operating in conformity with the partnership agreement.
- Raise fraud awareness across the entire workforce, and the implementation of appropriate control measures.
- Support partner organizations in their own risk management systems and processes and conduct partner risk assessments based on due diligence reports, volume of funds, and other criteria so as to identify possible key risks that might affect operations with partners.
- Undertake other duties as needed to successfully implement and manage grants and compliance activities as delegated from time to time.