Compliance Manager at DAI February, 2021



DAI works at the cutting edge of international development, combining technical excellence, professional project management, and exceptional customer service to solve our clients’ most complex problems. Since 1970, DAI has worked in 150 developing and transition countries, providing comprehensive development solutions in areas including crisis mitigation and stability operations, democratic governance and public sector management, agriculture and agribusiness, private sector development and financial services, economics and trade, HIV/AIDS, avian influenza control, water and natural resources management, and energy and climate change. Clients include international development agencies, international lending institutions, private corporations and philanthropies, and host-country governments.

1. Project Background:

The Scaling Up Nutrition Program is a cross-ministry and multi-donor program to reduce stunting in Zambia through implementation of the Government of the Republic of Zambia (GRZ) 1,000 Most Critical Days Program.

SUN TA provides support and direct technical assistance to sub-national local government departments in target districts to plan, implement, coordinate, and monitor integrated nutrition-sensitive and nutrition-specific activities to reduce the rate of stunting among Zambian children under two and improve the nutritional status of pregnant and lactating mothers. USAID has identified two main objectives that address stunting, including (1) Adequate Quantity and Quality of Dietary Intake among Target Groups; and (2) Adequate Health Conditions for Biological Utilization of Nutrients. SUN TA interventions increase access and availability of safe, diverse, nutritious food; adoption of better child feeding and household hygiene practices; and access to improved health, water and sanitation services. The project prioritizes sustainability by improving intra-household joint decision making and building the capacity of local government and their stakeholders to ensure coordination, accountability, and learning, following the Scaling Up Nutrition model.

2. Location: Lusaka with frequent travels to the districts.

3. Objective:

The Compliance Manager will be responsible for supporting operation of the project to ensure adherence to regulatory standards and industry best practices. S/he will bring a systematic and disciplined approach to the effectiveness of risk management, control and governance processes as related to project implementation. This position requires proven experience and knowledge of FAR, USAID ADS, AIDAR, Zambian regulatory bodies and laws and ability to rapidly learn DAI financial management, accounting principles, procurement and operational procedures. S/he will ensure transparent, audit-ready project operations. In addition, s/he will provide close review of the finance, human resources, procurement, programmatic and subcontracts efforts of the project to ensure these activities are carried out according to USAID regulations and DAI policies and procedures. The Compliance Manager reports to the Chief of Party (COP).

4. Tasks and Responsibilities:

  • Develop a targeted, risk-based, and coherent annual compliance plan, disseminates the plan to management and core operations teams and ensure strict adherence/implementation of the plan within stipulated timelines.
  • Conduct periodic internal reviews and investigation of compliance issues to ensure that procedures are followed and prepares detailed findings memorandum for management and advise on next steps.
  • Reviews all areas of DAI/SUNTA operations including grants, procurement, stock management, finance, IT, human resources, legal compliance and inventory to identify and mitigate risks.
  • Maintains documentation of compliance activities, such as complaints received or investigation outcomes.
  • Reviews documentation, such as procurement and human resource records, to ensure there are no violations of standards or regulations.
  • Serve as a confidential point of contact for employees to seek clarification on compliance issues or report irregularities.
  • Provide employee training on compliance-related topics, policies or procedures.
  • Monitor the implementation of company policies and procedures.
  • Monitor new controls pertaining the District Financial Guidelines are put in place at district and Lusaka level;
  • Reviews distribution forms of technical inputs to beneficiaries and perform spot checks;
  • Lead independent review of warehouse stock management and procurement processes.
  • Review attendance sheets and perform spots checks on trainings and workshops
  • Review documentation on subcontracts and grants to ensure that the overall project implementation complies with USAID and DAI regulations and policies.
  • Participate in the development and implementation of systems that result in improved operational efficiency and reduced organizational risk
  • Conducts regular internal program audits, make recommendations and implements follow-up actions with managers and report on implementation status on a regular basis.
  • Analyze trends and collects statistics and submit quarterly reports on operational risks.
  • Serves as liaison and support internal/external audits, coordinates action plans to close out audit findings.
  • Conducts investigations related to suspected fraud, ensuring timely completion of investigations and proactive status updates with key stakeholders, while maintaining confidentiality.
  • Performs other duties assigned by his/her supervisor or designee.

5. Reporting and Supervision:

The Compliance Manager reports to the Chief of Party. The Compliance Manager supervises the Compliance Officer.

6. Qualifications:

  • Bachelor’s degree in law, finance, business administration or equivalent field of studies. Master’s degree preferred with consideration of experience in lieu of an advanced degree.
  • Minimum of 7 years work experience in compliance management for USAID or other international development organizations.
  • Demonstrated experience in USAID contracting and grants and other USG international regulations.
  • Knowledge of project management procedures for planning and processing international development projects and for establishing plans, specifications, monitoring and management of development projects.
  • Knowledge of USG procurement regulations and of the FAR/AIDAR.
  • Strong communication abilities; Excellent English writing, speaking, and reading skills;
  • Proficiency with MS Office software.

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