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Job description

Title:                                                  Senior Internal Audit & Compliance Coordinator    

Reporting to:                                     Internal Auditor and Compliance specialist

Location:                                             Country Office, Islamabad (With frequent travel to field areas in all provinces of Pakistan)

Job Status:                                          Contractual

JOB SUMMARY

The Senior Internal Audit and Compliance Coordinator will be responsible for development and monitoring of Organization , Risk Management Strategy and Mitigation Plan, overseas the internal audit function as well as other regular programme assignments and will make objective assessment of evidence required in order to provide an independent opinion regarding organization, and other programmes, operations, processes, systems, or other subject matter. The Senior Internal Audit and Compliance Coordinator will carry out objective examination of evidence for the purpose of providing an independent assessment of risk management, organizational controls and management processes and will provide recommendations to Organization/RF management on improvements to internal controls as well assist in development of context specific internal controls which, if implemented, will add value and improve Organization work.

DUTIES & RESPONSIBILITIES

RISK MANAGEMENT:

  1. Conduct regular review of system, internal controls, procedures and operational framework to identify the risks, mitigation measures and assistant in development of Risk Management Strategy & Mitigation Plan for Organization as well for the sub-grantees.
  2. The Senior Internal Audit and Compliance Coordinator will review and determine whether, systems of risk management, internal controls, and management processes, as designed and represented by management, are adequate and functioning.
  3. Carry out risk-based audit of internal control processes in, program internal functions, information and communication, grant application and grant awards, disbursement and risk assessment processes to ensure all Organization policies and procedures are being correctly adhered to and implemented. Review if internal control procedures are being complied with and identify control weakness and potential risks; recommend appropriate measures to mitigate the weaknesses/risks.
  4. Perform procedures to identify/track the incidence of fraud and error; that is carry out necessary checking to ensure transactions are genuine/fair and to prevent abuse/misuse of Organization’s resources.  This will be done through routine internal audit of IPs and verification of book of accounts maintained with Organization Pakistan.
  5. Carry out assessment of program procedures to identify if any internal control weakness arise from the implemented system and make recommendations to make the systems more robust. This involves regular visits to all Organization projects.
  6. Independent review of compliance with terms and conditions stated in the Organization/donor/grant agreements for program
  7. Contribute in all relevant meetings involving consideration of policy/procedures formulation matters and other allied matters relating to the overall operations of program.
  8. Update and assists Internal Audit and Compliance Specialist in preparation and finalisation of annual risk register for Organization.
  9. Review of RF project risk register after finalization by Finance Manager and Deputy Director.
  10. Conduct due-diligence of the potential sub-grantee using the standard template, identify potential risk and necessary support required in case to sub-grantee.

INTERNAL AUDIT:

  1. Conduct financial and compliance audit of specific grants to sub grantee to ensure compliance with Organization policies & procedures, Cooperative agreement with USAID/OFDA.
  2. Formulate procedures for “Financial Audits”, “Compliance Audits”, “Information Systems Audits”, and “Investigative Audits” for, program in consultation with Internal Auditor & Compliance Specialist and Director.
  1. Develop annual internal audit plan in consultation with relevant department heads. Provide quarterly updates to senior management on progress/findings/recommendations from annual audit work.
  2. Conduct compliance audit of capacity building component.
  3. Assist or carry out internal audit and assessment of other regular programmes as and when required.
  4. Assist and carry out internal audit functions of any part of Organization programmes assigned by the HQ Dublin.

REPORTING:

  1. The Senior Internal Audit and Compliance Coordinator will submit a report on the results arising from the internal audit reviews to the Internal Auditor and Compliance Specialist and Director, RF.
  2. Review the management response, agree or ask relevant details and ensure the all RF internal audit report with management responses are properly filed for record and future response.

MONITORING AND FOLLOW UP:

  1. The Senior Internal Audit and Compliance Coordinator will regularly monitor implementation status of all recommendations reported in previous audit reports and will regularly keep track of their implementation.
  1. Work closely with relevant RF staff and relevant managers to ensure that audit issues/findings are properly understood and improvement commitments are made, and, that their implementation is monitored.
  2. As and when required work closely with relevant regular programme to ensure that audit issues/findings are properly understood and improvement commitments are made, and, that their implementation is monitored.
  3. Develop a report on semi-annual basis for audit findings/common gaps and in consultation with Director RAPID, conduct a refresher session with relevant staff to orient team on common gaps/issues and suggested mitigation measures compatible to the context and operational framework/mandate of humanitarian response

SPECIAL AUDITS:

1.    Recommend appropriate measures for the prevention of frauds and elimination of conditions inducing fraudulent actions and carry out special audits and investigations as may be requested by the Audit committee and the management.

Complaint Response Mechanism (CRM)

  1. Act as the investigation manager for investigating whistle-blower complaints and allegations of misconduct or fraud. Ensure day-to-day management of the Organization Pakistan CRM under the overall guidance and direction of the Internal Auditor & Compliance Specialist and Country Director. This involves receiving complaints as per CRM memo. Register the complaint and maintain Complaint register, Report the complaint to Country Director
  2. Coordinate with Program team to collect CRM register of sub-grantees, review the register and follow-up on sensitive complaints. Maintain the record of complaint received by sub-grantees.
  3. If assigned Investigate any identified suspicions of fraud as per TORs or Fact Finding and make recommendations for appropriate management response

Other

  1. Monitor changes in finance and tax issues relevant to staff and organisation by tracking statutory contributions and updating the organisation of any changes in relevant tax legislation as well as regular updates on international accounting standards
  2. Synthesize the complaints/investigation/internal audit findings on annual basis to identify trends/themes with respect to internal control weaknesses and recommend appropriate measures to mitigate any risks.
  3. Maintain good communications within the team and ensure that all necessary information is shared and understood.
  4. Assist in knowledge management process by providing accurate, sound and timely professional advice to , management and/or Project Board
  5. Contribute in development training modules related to internal controls and participate in delivery of trainings related to internal controls on need basis
  6. Participate in induction of sub-grantees including training on procurement, internal controls, cost principles and compliance with sub-grant agreement.
  7. Support in implementation of capacity building component, including support in development of capacity building tools, identification/selection of NGOs and DMAs, joint assessment of capacity gaps/needs, capacity development plan, and participate in implementation of capacity building plans as per assessed needs and agreed plans.

Prince 2 Documentation Review

  1. To report the Director RAPID , about the compliance with Prince 2 project management in regular internal audit reports.

PERSON SPECIFICATION

Essential:

  • Honesty and Integrity
  • CA Inter/ACCA with completed articles or equivalent
  • Minimum 4 years relevant work experience in a similar capacity preferably in NGO sector.
  • Experience of donor reporting and regulation 
  • Self-motivated

Desirable:     

  • Experience of sub-grant operational framework and cycle 
  • Basic idea about humanitarian program cycle
  • In-depth understanding on major donor rules and regulation including USAID-OFDA, ECHO, EU, UN etc. 
  • Basic understanding of in country Disaster Management Structure.
  • Prince -2 Practitioner certification is preferred 

Required Competencies

  • MANAGING YOURSELF: Is aware of own abilities and areas for development; adapts and uses abilities to work well with others and to help achieve Organization’s objectives.
  • INDIVIDUAL LEADERSHIP: Acts to inspire others by clearly articulating and demonstrating the values and principles that underpin Organization’s work. Holds a sense of pride in Organization and loyalty to the organisation. Supports others to achieve excellent results.
  • COMMUNICATING AND WORKING WITH OTHERS: Uses the most appropriate channel to share information with others both inside and outside Organization; adapts the message to meet the communication needs of the audience. Works effectively with others, gaining the most from people and situations.
  • DELIVERING RESULTS: Delivers on commitments; uses appropriate techniques to help achieve agreed objectives.
  • PLANNING AND DECISION-MAKING: Systematically develops plans towards achieving objectives; makes clear, informed and timely decisions appropriate to role, in the interests of Organization and those we work with.
  • CREATIVITY AND INNOVATION: Focused on continual improvement; seeks out, develops and successfully implements new ideas that further organisational priorities and the needs of those we work with; builds on proven approaches; evaluates and learns from ongoing work to improve it.
  • INFLUENCE, ADVOCACY AND NETWORKING: Engages with others inside and outside the organisation to promote the interests of Organization and those we work with; gathers and shares a Organization knowledge of issues relevant to Organization’s work
  • CHANGE: Responds positively and constructively to change; manages or takes part in change processes in a way that is appropriate to role in the organisation

Relationship:

Liaises with: Donor, Local and International NGOs, UN agencies and Partner organizations related to the Organization Program and regular program.

Problem Solving/Work Environment:

This is not a 9-5 post. Due to the Organization nature of approval & disbursement, the volume of work may come in ‘waves’ – so weekend and late night working is possible at short notice, but this will be compensated by lower volume at other times, allowing for compensatory time-off.

Accountability:

In carrying out the above duties, Organization Pakistan approved procedures must be followed at all times. Committed to HAP standards implementation 

Special Circumstances:

Sometimes the job may demand the job holder to operate in risky environments/areas during a humanitarian response.  Organization has a security management plan in place to minimize all possible risks, in case of emergency/disaster in Pakistan.

Performance Standards:

Based on the above mentioned duties & responsibilities, specific performance standards will be refined in consultation with line manager.

Safeguarding at Organization: Code of Conduct and its Associated Policies

Organization has an organizational Code of Conduct (CCoC) with three Associated Policies; the Programme Participant Protection Policy (P4), the Child Safeguarding Policy and the Anti-Trafficking in Persons Policy. These have been developed to ensure the maximum protection of programme participants from exploitation, and to clarify the responsibilities of Organization staff, consultants, visitors to the programme and partner, and the standards of behaviour expected of them. In this context, staff have a responsibility to the organisation to strive for, and maintain, the highest standards in the day-to-day conduct in their workplace in accordance with Organization’s core values and mission. Any candidate offered a job with Organization will be expected to sign the Organization Staff Code of Conduct and Associated Policies as an appendix to their contract of employment. By signing the Organization Code of Conduct, candidates acknowledge that they have understood the content of both the Organization Code of Conduct and the Associated Policies and agree to conduct themselves in accordance with the provisions of these policies. Additionally, Organization is committed to the safeguarding and protection of vulnerable adults and children in our work. We will do everything possible to ensure that only those who are suitable to work or volunteer with vulnerable adults and children are recruited by us for such roles. Subsequently, working or volunteering with Organization is subject to a range of vetting checks, including criminal background checking.

Counter Terrorism Policy

Organization receives a substantial amount of external donors each year.  Increasingly donors are introducing requirements whereby future is conditional on Organization ensuring that the names of any new employee or volunteer do not appear on terrorism lists generated by the European Union (List of person, groups and entities to which Regulation (EC No. 2580/2001 applies), the US Government (Office of Foreign Assets Control list of specially designated Nationals and Blocked Persons) and the United Nations (Consolidated List). 

 

‘Any offer of employment (either paid or voluntary) with Organization will not be made pending a clearance check being conducted on the applicant.  For additional information please consult our web site or contact the Human Resource Division in our Head Office.

By submitting a formal application for paid or voluntary employment to Organization, you agree to Organization carrying out a clearance check as outlined above and that Organization will not proceed to recruit you should your name appear on any of the aforementioned lists.





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