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Under the supervision of the Regional Chief of Operations, the Risk and Compliance Manager will be responsible for leading the strengthening of risk assurance and compliance efforts at the Regional Office
The incumbent will be responsible for providing complementary expertise, support, and monitoring related to the management of risk, including but not limited to the development, implementation, and continuous improvement of risk management practices at a process, systems, and entity level.
Summary of key functions/accountabilities:
1. Risk management support
- Lead the process of providing guidance and supporting the Country Offices in the annual risk assessment process and monitor the reliability of reports and their compliance with applicable rules and regulations. Provide technical support and feedback to Country Offices.
- Lead the monitoring process of risk mitigation action plans including a mid-term review.
- Ensure the risk management approach is embedded in any project/proposal, in office governance committees’ review of submissions and in any major decision made by the management.
- Act as focal point with OIAI and support capacity building of COs for prevention and early detection of fraud, and provide the necessary guidance
- Support CO to ensure that risks related to implementing partnership management are appropriately identified and adequate mitigation measures are in place, considering the larger risk context in the region and countries, including PSEA
2. Compliance support
- Lead the review process of the office systems, procedures and processes for compliance with organizational rules and regulations.
- Enforce and strengthen internal controls to ensure that systems are in place to prevent, detect and report non-compliance. Support the process for the preparation of the annual Statement of Internal Control (SIC) by the office.
- Review and validate the internal work processes in Programme and Operations to ensure that accountabilities are clear and placed at the adequate levels as per global policies and/or best practices.
- Lead the establishment of a risk-based system to periodically and systematically review a sample of activities (Programme and Operations) to ensure they are carried out according to established work processes and in compliance with UNICEF policies and procedures.
- Provide technical guidance and oversight on implementation of HACT and other relevant policies and procedures including financial policy and PSEA procedures
- Guide, support and advise COs in the formalization of partnership in line with relevant policies and procedures, especially when it relates high risk and high value partnership.
- Lead the internal and external audit processes, conduct a quality assurance and follow-up on the implementation of the recommendations and provide feedback to the management.
- Periodically test compliance with the Table of authority and adherence to the delegation of authorities in line with UNICEF policies and Procedures; and ensure staff understand the roles and responsibilities delegated to them.
- Lead the process of reviewing the conformity of statutory and non-statutory committees, assess committee members have been trained/oriented on their roles and responsibility.
3. Fraud risk Management support
- Support the management of the office in collecting evidence to respond to OIAI’s queries when initially assessing allegations of fraud and misconduct (including PSEA) or during actual investigations.
- Advise the management on lessons learned from investigations and measures to be taken accordingly.
- Liaise with Headquarters on scheduled HACT audits and monitor the high-risk findings and the status of follow up actions, including recovery of ineligible costs.
- Support COs in liaising with OIAI regarding suspected fraud by implementing partners, including in the elaboration of TOR for special audits, or other assurance activities, triggered by allegations of fraud.
- Ensure the implementation of the global anti-fraud strategy within the region, suggest internal fraud prevention mechanisms and alert the management on any fraudulent issues as well as unethical behaviors detected.
- Lead the process of Fraud risk training / orientation to Partners and suppliers within the region.
4. Oversight and advisory to the Management
- Advise the management on actions to be taken to enforce and strengthen accountabilities for a robust, responsive and transparent governance framework.
- Contribute to effective management process in key governance meetings (particularly input to ROMT and regional TRT).
- Coordinate Risk assessment and control activities with other UN agencies by representing the office in meetings related to Risks and Compliance activities.
5. Create awareness/capacity building
- Establish a system to document and report weaknesses in internal control and implement actions aimed at addressing internal controls gaps (SOP, memos…) and building the capacity of responsible staff.
- Analyze cause and effect of policy changes to the operations of the office, anticipate changes and advise on the new way of doing business.
- Lead the implementation of a continuous learning and development plan for the Risk and Compliance function
- Guide, support and advise COs on system improvements and simplifications including use of corporate tools and system (Insight, eTools, UNPP and VISION)
- Ensure that management provides staff with access to relevant training and that staff and other personnel understand key UNICEF policies including PSEA, Fraud and Ethics.
- On request, as the Regional Office, conduct review exercises in countries in the region, or in supporting any other review in the area of expertise (Peer reviews, assessment, internal audit preparations).
- Develop a network/community of risk and compliance specialists at both regional and global level for experience sharing, updated working documents as well as office rules and policies.
- Facilitate knowledge management and information sharing among Country Offices on HACT and CSO partnership implementation, assurance mechanism, fraud risk management and prevention
How to Apply
UNICEF’s active commitment towards diversity and inclusion is critical to deliver the best results for children. For this position, eligible and suitable candidates are encouraged to apply.
Only shortlisted candidates will be contacted and advance to the next stage of the selection process.
UNICEF appointments are subject to medical clearance. Issuance of a visa by the host country of the duty station, which will be facilitated by UNICEF, is required for IP positions. Appointments may also be subject to inoculation (vaccination) requirements, including against SARS-CoV-2 (COVID). Government employees that are considered for employment with UNICEF are normally required to resign from their government before taking up an assignment with UNICEF. UNICEF reserves the right to withdraw an offer of appointment, without compensation, if a visa or medical clearance is not obtained, or necessary inoculation requirements are not met, within a reasonable period for any reason.
The candidate selected for this role MUST be able to travel unhindered to all the countries in South Asia