Risk Management 

• Identifying and rating risks that are present within the organisation
• Tracking the risks, as identified on a risk register and researching methods of mitigating the identified risks within the business
• Liaising with business to identify the risks that are present, exploring methods to mitigate risks and following up to ensure that corrective action is undertaken
• Reporting to the risk committee to advise them of the risks and action taken to prevent exposure
• To provide a mechanism for mitigating risks and tracking the risk aversion interventions to ensure that they are implemented

Control Assurance

• Acting as the liaison between the business and the internal audit department
• Resolving open audit findings to ensure that all audit findings are adequately resolved
• Liaising with banks in terms of compliance by having meetings on a monthly basis to deal with any issues that may arise
• Reporting to the audit committee, risk committee and board regarding Control assurance
• Managing the Whistle Blowers campaign by:

o   Ensuring that staff are educated with regard to Whistle Blowing reasons and procedures

o   Liaising with the service provider and the specific departmental management regarding calls that are logged through Whistle Blowers, which are sent to the CFO, HR and the Compliance Officer

o   Ensuring that the appropriate action is taken in response to calls that are logged

• Providing feedback to the audit committee as to the calls that are logged
• To ensure that audit findings are remediated
• To provide feedback to the audit and risk committees as well as the board regarding control measures that have been implementing
• Providing a mechanism for employees and external stakeholders to report on irregularities that could lead to misrepresentation or fraud

Internal Audit

• Audit plan  - Drafting of annual and 3 year rolling plan 
• Drafting and sent out of Engagement letter requesting generic requirements e.g. policies organogram
• Audit – kick off meeting
• Understand the requirements
• Documentation of discussions into word and Visio – narrative – explain and reference to document in walkthrough of processes
• Formulate a risk and control matrix to ID possible risks and assess gap based on process understanding
• Raise findings where there are gaps identified
• Risk is rated based on potential risks
• Evaluate controls to see if risk is mitigated effectively
• Audit Test control to gauge effectiveness to Identify Control Gaps
• Draft detailed audit program – samples selected based on control size
• Agree off requirements with executive
• Once approved execute audit program
• Request documents and document findings in required paperwork 
• During testing speak to management about the issues – validate findings (may be a once off problem)
• Draft report
• Perform reviews of staff working papers
• Draft audit report for review by executive
• Close out meetings with management & request management comment on report issued

Compliance Officer

• Ensuring regulatory compliance with all acts by reviewing all acts and tracking the changes that are stipulated
• Identifying the implications of the legislation on the business and advising the business accordingly
• Facilitating prompt changes within the business to ensure legislative compliance
• Reporting on legislative changes and the status of compliance with these changes in the business

Other

• Active involvement with the renewal of company insurance policies and managing submissions to the insurance company 
• Assist business with adhoc request when implementing new projects