The incumbent is responsible for coordination of compliance audits and examinations, coordination of scheduled internal reviews, reviewing and updating compliance policy and procedures.
ACCOUNTABILITIES:
- Develops and maintains a compliance training plan
- Investigates complaints and coordinate action plans with other departments
- Compiles reports of calls received, investigations conducted, findings and recommendations developed, action plans established, and progress noted
- Assists with internal audits of the compliance program
- Assists with regulatory examinations, including requesting and preparing materials
- Assist the Finance Department with coordinating compliance review and monitoring activities
- Reviews and reports on the accuracy, efficiency and timeliness of financial, and other information that is provided to the Managing Director and Financial Controller
- Investigates complaints and coordinate action plans with other departments
- Develops and rollout of policies and programmes
- Provides advice on measures to protect against theft and fraud of the Company’s assets
- Supports staff on a day to day basis by conducting research, responding to inquiries, and assisting with the
- Develops policies and programs that encourage staff to report suspected fraud or impropriety without fear of retaliation
- Conducts mock surveys, inspections, audits and investigations periodically to assess staff readiness and to specifically identify where corrective actions are needed
- Presents written evaluations and reports to the Managing Director and BOD at least annually
- Re‐evaluates areas of previous deficiency to identify improvements
- Creates and executes audit plans
- Creates tracking tools for audit progress
- Provides ongoing support to the Legal and Finance teams on special projects, risk assessments etc.
