Compliance Manager at Phillips Consulting

Key Responsibilities

• 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.

Key  Requirements

• 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