KEY ACCOUNTABILITIES
Support the collation of agenda and materials for the Local Risk, Audit, Compliance & Ethics RACE
Risk Management
- Support the roll out of the group risk management framework for our operating companies to identify and monitor management’s response to significant business risks (IT, Finance, Regulatory, Operational and Strategic) including the maintenance of a risk register
- Production of reporting for key stakeholders
SOX
- Support the implementation of the SOX compliance process
- Support local management in the implementation, documentation, evaluation and design of appropriate controls to mitigate ICOFR risks, both transactional and IT
- Assist with planning and controls testing where required
- Manage and support timely deficiency evaluation and documentation for reporting purposes
- Support the completion and provision of reporting to key stakeholders
- Support and input to the development and implementation of guidance in support of our SOX compliance process
- Support on timely ICOFR deliverables (302, 404)
- Manage global SOX requests in relation to annual deliverables and timelines
- Manage external auditor requests in relation to SOX testing
Audit
- Collation of management action plan updates
- Collating evidence and or testing of remediated findings
- Preparation of proposals to accept residual risks
- Update of register of open internal audit issues.
- Support local management in developing realistic and actionable remediation plans.
- Act as a local point of contact for the audit team during internal audit assignments.
Compliance & Ethics
- Support the communication and awareness program for the Code of Conduct within the OpCo and ensuring the Code and Compliance line is available to employees
- Support the identification of entity compliance controls for policies, and assist in the gathering of data for the identified KPIs
- Management of the G&H/COI registration process
- Oversight to compliance training assignment and monitoring completion of assigned training
- Assist in the roll out of third party diligence processes and procedures
- Support audits of policy compliance
- Support local allegation investigations and case management
- Support in the tracking of corrective actions or remediation post investigations
