Compliance and Control Manager

at  Gathern

JOB SUMMARY

The Compliance and Control Manager is responsible for establishing, implementing, and maintaining a robust compliance and control framework within the organization. This role involves developing and implementing company policies, creating and managing a risk register, conducting risk-based audits, and ensuring adherence to regulatory requirements. The successful candidate will have a strong understanding of internal controls, risk management, and audit methodologies. This position reports to the VP Finance and has a dotted line to the CEO.

REQUIREMENTS

• Bachelor’s degree in Accounting, Finance, or related field.
• Minimum of 5 years of experience in internal audit, compliance, or risk management.
• Strong understanding of internal control frameworks and risk management methodologies.
• Proven ability to develop and implement policies and procedures.
• Excellent analytical and problem-solving skills.
• Strong communication and interpersonal skills.
• Ability to manage multiple projects and prioritize tasks effectively Experience managing a small team.

PREFERRED QUALIFICATIONS

• Certified Internal Auditor (CIA) or equivalent certification.
• Experience in the tech startups.
• Knowledge of data analytics and audit software.

• Policy Development: Help VP Finance develop, implement, and maintain a comprehensive financial compliance and control policy framework aligned with industry
• best practices and regulatory requirements.
• Risk Management: Identify, assess, and prioritize organizational risks through the development and maintenance of a risk register.
• Help VP Finance develop and implement risk mitigation strategies.
• Internal Audit Planning: Develop and execute an annual internal audit plan based on risk assessment and business objectives.
• Audit Execution: Conduct thorough and independent internal audits to assess the effectiveness of internal controls, compliance with policies and procedures, and the
• efficiency and effectiveness of operations.
• Issue Management: Document audit findings, prepare detailed audit reports, and
• communicate results to management.
• Follow up on corrective action plans to ensure timely and effective implementation.
• Team Management: Oversee and develop a high-performing internal audit team.
• Provide coaching, mentoring, and performance management.
• Stakeholder Management: Build and maintain strong relationships with key stakeholders, including management, employees, and external auditors.
• Regulatory Compliance: Stay updated on relevant laws, regulations, and industry standards. Ensure the organization’s compliance with all applicable requirements.