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  1. Management of the FLATS and program compliance process
   

The Compliance Officer must know ACTED's policies and procedures and must ensure that they are properly implemented throughout his/her hub. S/he must independently: 
 

• · Plan and coordinate the hub's compliance tasks: monthly compliance reviews and relevant ad-hoc spotchecks of his/her hub FLATS and program departments; 
   
• · Propose significant and relevant samples to be used as a basis for monthly compliance reviews; 
   
• · Review the results and analyses arising from the compliance reviews and ad-hoc spotchecks in order to share lessons learned with the relevant departments, validated by Capital T&C team and HQ; 
   
• · Plan and coordinate the monthly monitoring of the action plan for implementing the AUD-05 recommendations in collaboration with the relevant departments; 
   
• · Report to the line management any difficulties encountered by each department in implementing Acted procedures. 
   
• · Report risky compliance alerts or suspected fraud to the T&CM; 
   
• · At the request of his/her direct supervisor or the T&CM, participate in partner due diligences and organize monitoring of the implementation of risk reduction plans. 
   
• · Ensure information needed to consolidate the monthly compliance report and the related capital annexes (MCR) is shared with capital (FLA-04, FLA-02, FLA-05, FLA-06, AUD-05 and lessons learnt) 
   

On bases without compliance assistant also : 
 

• · Collect, based on the relevant sample, the necessary documents from the departments and ensure the quality of the organization of their physical and digitized filing systems, in accordance with FLA-01 guidelines; 
   
• · Complete the FLA-02 "Compliance checklist" on a monthly basis to ensure that FLATS documentation is compliant, report any non-compliant issues, propose corrective action plans and improvement suggestions where necessary; 
   
• · Carry out monthly "Quotes & Invoices Investigation" (FLA-05), analyze results and report any fraud risk; 
   
• · Complete the FLA-06 "Staff files checklist" on a monthly basis to ensure that personnel files are compliant, report any non-compliant issues and propose corrective action plans and improvement suggestions where necessary; 
   
• · Ensure the implementation of compliance tasks associated with expenditure (including supply chain traceability, market survey, review of FLATS and program documentation, etc.) ; 
   
• · Produce the relevant ad-hoc spotchecks for the hub FLATS and program departments. 
   

• 2. Preparing, carrying out and monitoring external audits 
   

The Compliance Officer must be familiar with the external audit procedures for each of the projects implemented and ensure that they are properly prepared, implemented and monitored. S/he must independently: 
 

• · Manage the external audit preparation related to projects expenses and implemented process; 
   
• · Coordinate the submission of supporting documents requested by the external auditors by checking the

• "Compliance Checklists" (FLA-02) completed by the Compliance Assistant and the supporting documents; 
   
• · Contribute (if required) on drafting the external audit follow-up files (AUD-01) and to the preparation and dissemination of lessons learned and good practice; 
   
• · Identify and communicate risks, draft lessons learned and propose recommendations to be incorporated into the management of the FLATS and program compliance process and followed on AUD-05 after T&CM validation ; 
   
• · Participate (if requested) in the preparation of responses to these reports in conjunction with the Capital T&C team ; 
   
• · Coordinate the follow-up of external audit recommendations implementation with the departments concerned. 
   

On bases without a compliance assistant also : 
 

• · Help to facilitate each external audit, by collecting, consolidating, and reviewing the selected supporting documents, identifying and rectifying any anomalies and sending the "Compliance checklists" (FLA-02) to his/her direct supervisor. 
   

• 3. Preparing, carrying out and monitoring internal audits 
   

The Compliance Officer is responsible for assessing and strengthening the level of compliance of the various departments in each of the bases in his/her hub by implementing the internal audit plan once shared and validated by the T&CM. S/he must work independently: 
 

• · Identifying the main compliance risks and issues inherent in its hub in order to propose the relevant reviews to be included in the internal audit plan (AUD-06); 
   
• · Preparing the Terms of Reference (AUD-03) and sending them to his/her direct supervisor and to T&CM for validation prior to any internal audit; 
   
• · To plan and supervise internal audit assignments in accordance with the audit plan (AUD-06) and the ACTED internal audit methodology by developing the necessary testing tools; 
   
• · Review the work (AUD08 and testing files), the action plan (AUD-04B) and the audit report (AUD-04A) for validation by his/her direct supervisor and T&CM before sharing it with the departments concerned; 
   
• · Update the internal audit recommendation tracking file (AUD-05) with validated recommendations; 
   

On hubs without a compliance assistant also : 
 

• · Carry out internal audit in accordance with the audit plan (AUD-06) and the ACTED internal audit methodology (by completing the internal audit checklists and documenting each review using the associated testing files or by developing them); 
   
• · Draft the action plan (AUD-04B) and audit report (AUD-04A) following each internal audit, identifying anomalies, and proposing associated recommendations for validation by his/her direct supervisor and T&CM, before sharing it with the departments concerned. 
   

• 4. Training sessions / lessons learn / best practices
   

The Compliance Officer will help to improve compliance competences by proposing training sessions on specific process in the procedures, based on internal and external audits compliance review conclusions. S/he will : 
 

• · Provide practical training on specific aspects of ACTED procedures; 
   
• · To contribute to the proactive dissemination and use of lessons learned during audit activities (internal and external audits) among national and international staff. 
   
• · Process improvement : In collaboration with the departement involved, reinforce current procedures and the quality of ACTED internal control, based on international best practices, donors’ requirements, and results of internal & external audits. 
   

• 5. Internal Coordination
   

• · Supervise the compliance assistants by monitoring action plans and day-to-day activities; 
   
• · Review the work of the compliance assistant (if any) and provide full written feedback on their work; 
   
• · Ensure training and capacity building for the Compliance team members to increase the technical ability and skills within the department. 
   

• 6. Transparency
   

• · Participate in minimizing risk of fraud and corruption by ensuring adherence to Acted FLATS procedures, Acted Code of Conduct and ACTED Policies; 
   
• · Upon request of the Capital T&C team, participate in Fraud cases investigations; 
   
• · Actively promote Acted’s anti-fraud and whistle blowing policy within all Acted offices in the hub. 
   

• 7. Other
   

• · Provide regular and timely updates on progress and challenges to the direct line manager and Capital T&C team; 
   
• · Warn the direct line manager and Capital T&C team in case some major problems arise with a potential financial or reputational impact on the mission; 
   

Perform any other related activities as assigned by immediate supervisor or the capital T&C team.