Compliance Specialist

GENERAL OBJECTIVE

The objective of this new position is to make sure that quality standards are met in the implementation of humanitarian intervention, by making recommendations improving the functioning of support department (Logistics, Administration and Finances, Human Resources and cross cutting coordination).

The Compliance Specialist will then be in charge of identifying the margin for improvement, based on neutral diagnosis and existing recommendations (external audits, grants requirements, partners’ best practices) and of monitoring the quality and timely implementation of those recommendations.

The Compliance Specialist (CA) will therefore work closely with Coordinators in support departments both in identifications of gaps, corrective measures to be put in place to upgrade their standards in terms of internal processes.

He/she will be in charge of coordinating the implementation of external audits (by auditors or by partners) and internal recommendations in line with support departments). He/ She will also be the technical referent for the three bases in Lebanon (Saida/ Beirut/ Akkar) about standards to be reached in terms of controls, processes, compliance to PUI procedures and donor procedures and good practices.

The CA will work under the direct supervision of the Head of Mission, and will be supported by the Compliance and Audit Manager in HQ.  He/ She will also be the Mission focal point for Fraud and Corruption prevention and detection, and will work closely on this regard with the MEAL Coordinator (MEAL=Monitoring, Evaluation, Accountability and Learning), and other coordinators.

2. RESPONSABILITIES AND TASKS

Roles and responsibilities                 

Compliance role

• With Head of Mission support and in coordination with Heads of departments (coordinators), makes sure that all organization and missions standards are implemented. Where donor regulations are more stringent than internal regulations, compliance with donor regulations have to be monitored as well.
• Centralizing recommendations of external partners on process improvements
• Monitoring action plans implementations along with coordinators in order for relevant recommendations to be implemented in a realistic timeframe.
• Is the mission focal point for anti-fraud and anti-corruption policy. At such he/she receives formal complaints and convenes the Anti-fraud and anti-corruption committee in order to treat cases.
• Generally ensure that accountability and transparency are at the heart of Mission spirit and practices.

Audit Process

• Leading internal audit : coordinates the monthly check as part of the HQ internal audit system. Reviews the documents and offers recommendation based on the quality of the document, and for mitigation processes in case file is not complete.
• Internal Audit follow-up : on a formal and regular process, S/he will ensure that HQ recommendations are implemented, and will report to HoM and HQ compliance and audit manager;
• Preparation of external audits: liaising with Admin Coordinator, Logistics Coordinator, HR coordinator and Deputy Head of Mission for Programmes, S/he prepares external audit and is the focal point of the mission for auditors.

specific objective and linked activities

1.HE/SHE ENSURES THAT THE COMPLIANCE SYSTEM IS PROPERLY DISPLAYED AT MISSION LEVEL

• He / She makes sure that all organization’s and mission policies are properly displayed, understood and applied consistently at coordination and field offices level;
• in link with coordinators and HQ compliance manager, establishes quarterly action plans and priorities
• Based on observations or upon HoM requests, supports development of recommendations for processes improvement ; 
• Makes sure that Child Protection, PSEA, anti-fraud and corruption policies are properly displayed, understood and applied,
• On a monthly basis, he/she provides a monitoring report to all coordination team, raising main priorities,
• With the support of HoM, He/she proceeds to regular checks at coordination and base level and provides a report.

2..BE THE FOCAL POINT OF THE ANTI-FRAUD AND CORRUPTION POLICY:

• Briefs all staffs and new recruited staffs on the anti-fraud and anti-corruption policy;
• Is the focal point for all alerts raised on this regards; and convenes the anti-fraud anti-corruption committee to discuss further actions
• Is the lead of the investigation team for alert raised, reporting back to the committee for guidance and decision
• Reports to the HoM about investigation mechanisms and investigation findings;

3.IN CLOSE COORDINATION WITH HEAD OF DEPARTMENTS AND HQ COMPLIANCE MANAGER, HE/SHE PROVIDES RECOMMENDATIONS FOR COMPLIANCE PROCESSES IMPROVEMENT

• Lists recommendations made by external partners ( consortium partners; donors) in terms of process improvements and compliance requirements;
• Based on these recommendations, he/she proposes to the HoM, coordinators, and HQ compliance manager, process improvement;
• Once approved by the coordinators, s/he monitors the implementation of recommendations at coordination and field level; s/he supports departments to develop action plans to address recommendations and holds them accountable to them, with the support of HoM as necessary.

4. CONDUCTING INTERNAL AUDIT PROCESS

• Based on the internal audit matrix, he/she proceeds to spot checks and presents results and recommendations of it to the HoM, concerned Mission coordinator, and Internal Audit officer at HQ.
• S/he facilitates the monthly checks requested by HQ, consolidates the documents, and proposes mitigation measures or recommendations based on the quality of the documents provided.
• On a monthly basis, shares internal audit reports to the Audit and Compliance Manager in HQ

5. BE THE FOCAL POINT FOR EXTERNAL AUDITS

• In coordination with other coordinators, prepares the external audits: present the Mission to auditors, shares the requests for documentation to the coordinators, centralizes the feedback and presents consolidated responses to the auditors, along with the support of coordinators.
• S/he discusses issues and recommendations with auditors. S/he is involved in drafting the responses to the Management Letters (ML) of audits in coordination with other departments. In some key issues, consults with HQ on best approaches to respond to ML and to implement feedback.
• Reviews the recommendations of external auditors and makes sure that relevant proposals for compliance are included in the action plans of the different departments

6.TEAM MANAGEMENT AND CAPACITY BUILDING

• In collaboration with the HR department, participate in the recruitment process(es) of staff under his/her line management in: drafting job descriptions/technical tests/interview forms, shortlisting resumes and conducting interviews;
• Brief newly recruited personnel under his/her management on their roles and responsibilities;
• Ensure the adherence of his/her subordinates to all PU-AMI’s policies, rules and regulations;
• Ensure the respect and implementation of HR procedures in accordance with PU-AMI’s Policies and Guidelines (i.e. daily management, disciplinary procedures, performance appraisals, leaves management, trainings and capacity building, etc.) in collaboration with the Human Resources department;
• Monitor and provide objective feedback related to the performance of the staff under his/her supervision (including staff performance appraisals every 6 months) to promote professional development;
• Provide technical support and guidance to the Compliance Officer;
• Ensure good communication, coordination and information level of each member of the field teams during regular coordination meetings (or other when required);
• Solve team conflicts and ensure team building and discipline.

MANDATORY REQUIREMENTS

• Language skills: Fluent in Arabic and English (speaking/reading/writing);
• Education degree: University degree;
• Work experience: Minimum of 3 years’ Experience in INGOs at manager level, at least in 2 of the following domains: Audit, Administration & Finance, Logistics, HR.
• Knowledge & skills: Audit process/ Thoroughness/ Good social skills / Ability  to manage priorities and take initiatives  / Accountability and timely delivery; Ability to understand functioning of a humanitarian organization

Computer skills:

• Computer hardware and software troubleshooting and configuration;
• Excellent knowledge of Excel and Access (Data manipulation and report generation);

Other:

• Pedagogical skills;
• Good knowledge of humanitarian actors and donors.

ASSETS

Interest:

• Strong motivation to help people in needs.

Transversal skills:

• Well organized and attention to details;
• Reliable and rigorous;
• Ability to analyze and suggest improvement;
• Autonomy, neutrality, hard worker;
• Able to manage stress and pressure;
• Ability to work within a team.