Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
Conduct or direct the internal investigation of compliance issues.
Assess compliance, or operational risks and develop risk management strategies.
Conduct environmental audits to ensure adherence to environmental standards.
Identify compliance issues that require follow-up or investigation.
Disseminate written policies and procedures related to compliance activities.
File appropriate compliance reports with regulatory agencies.
Evaluate testing procedures to meet the specifications of environmental monitoring programs.
Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
Discuss emerging compliance issues with management or employees.
Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
Advise internal management or business partners on the implementation or operation of compliance programs.
Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
Provide employee training on compliance related topics, policies, or procedures.
Provide assistance to internal or external auditors in compliance reviews.
Prepare management reports regarding compliance operations and progress.
Monitor compliance systems to ensure their effectiveness.
Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.
First degree in Accounting; minimum of second class lower division
Professional accounting qualification
Professional audit qualification would be added advantage
Minimum of 10 years experience in forensic accounting and internal/external audit
Experience managing internal audits, supervising a team of internal and external auditors, supporting executive management, and reporting to Audit and other Board Committees