Oversight and Compliance Analyst

The Gambia, Africa's smallest mainland country, has achieved remarkable peace and development progress. It ranks as the third most peaceful nation in Sub-Saharan Africa and 45th out of 163 countries globally. The Gambia is the most improved country with improvements on governance. The country's transition to democracy in 2016 marked a pivotal moment after 22 years of authoritarian rule. It stands as a nation on track to meet the Paris Agreement's mitigation target and is one of the top ten fastest-growing economies in Africa, with a projected growth rate of 6.4 per cent between 2023 and 2024. 

Like other countries in sub–Saharan Africa, The Gambia still faces several challenges resulting from the past protracted authoritarian rule, climate related disasters, the impact of COVID-19 and the Ukraine war, rising inflation (over 12% since April 2022) and the difficult recovery of the population from these shocks. The resulting context has contributed to 53% poverty rate and 42% youth unemployment since 2020, inequalities, gender inequality, food and nutrition insecurity, and increased migration flows. Despite relative political stability and peace following the conclusion of 2021-2023 electoral cycle, the delays in follow up on the recommendations of the Truth, Reconciliation and Reparations Commission as well as ongoing reforms in legislative, constitutional, and security areas remain a challenge. 

The United Nations Development Programme (UNDP) is committed to supporting The Gambia to address these challenges and achieve a peaceful and resilient society where citizens regain confidence in their institutions and benefit from inclusive growth and development. Under the current Country Programme Document, which is aligned with the United Nations Sustainable Development Cooperation Framework (UNSDCF 2024-2028), and the UNDP global strategic plan, UNDP The Gambia focuses on three inter-related areas of support: (a) Green inclusive economic growth; (b) Responsive, accountable governance and peace building; and (c) Sustainable environment and climate resilience. UNDP will leverage its comparative advantage by addressing the root causes of vulnerability to accelerate growth, build resilience and promote good governance while complementing the efforts of the collective United Nations Development System in support of the Recovery-Focused National Development Plan 2023-2027.  

Within this context, UNDP The Gambia requires effective decision-making risk management and external projection of its support programme results that can further enhance forward planning and compliance with corporate tools (ROAR, IWP, audit follow up, risk logs, multiyear financial projections, delivery tracking, soft pipeline population etc.) while ensuring sound reporting and results-based narratives for its contribution to national development priorities. 

Position Purpose

Under the supervision and guidance of the UNDP Deputy Resident Representative, the Oversight and Compliance (O/C Analyst designs, develops, implements, and maintains an integrated operational risk management framework in coordination with relevant UNDP teams across organization lines at the country, regional and global levels. The position (i) delivers the framework within UNDP various teams to consistently and comprehensively identify, measure, monitor, mitigate, and report operational risk; (ii) participates in the adapting and implementation of UNDP policies, guidelines, and practices on risk management; (iii) works within general policies, principles, and goals in collaboration with partners and clients; (iv) ensures the embeddedness of risk management tools in the identification and assessment of risks; and (v) plays a prominent role in the dissemination of operational risk information to Management.

From an oversight perspective, the incumbent performs a quality assurance function on all aspects of country office (CO) related activities in the country in the assigned area of responsibilities and flags issues of concern on those requiring senior management attention in a timely manner, as well as ensuring full compliance and timely, effective follow-up on audit recommendations. The incumbent also facilitates alignment and linkage with regional and corporate strategy, and prioritizes, tracks CO performance in consultation with M&E staff against corporate standards and results compacts between the CO and the Bureau, performs reviews, and spot-checks as well as escalates CO performance issues and exception in a client-oriented manner. S/He works in close collaboration with programme, operations, and project teams in the CO and other UN agencies, UNDP HQs staff and national officials to successfully deliver services

UNDP adopts a portfolio approach to accommodate changing business needs and leverage linkages across interventions to achieve its strategic goals. Therefore, UNDP personnel are expected to work across units, functions, teams, and projects in multidisciplinary teams in order to enhance and enable horizontal collaboration.

Key Duties and Accountabilities

1)    Risk Management Analysis and Advice 

• Identify, assess, and manage contextual, programme and operational and business risk. This includes the ability to analyse and interpret complex information and data collected, accurately identify issues and trends, make appropriate judgments, and provide relevant recommendations.
• Support the CO initiatives on country programme development and delivery, identifies approaches and modalities to achieve development targets. 
• Analyse and evaluate information from a variety of public sources, including UN Security Council, investigation reports, regulatory bodies and law enforcement, or geographic information systems to complete risk profiles.
• Identify key contextual and operational risks and mitigating factors of potential development and peacebuilding interventions.
• Advises both programme and operations on audit, supporting the CO management to ensure compliance with UNDP rules, regulations, and procedures, audit preparation and support to timely and effective implementation of the audit recommendations. 
• Leads support to assigned office(s) in preparation and follow-up to audits, including HACT/National Implementation Modality (NIM), country office audits, Direct Implementation Modality (DIM) and special audits and audits by the UN Board of Auditors. 
• In close collaboration with Regional Bureau for Africa (RBA) Country Support and Oversight Team (COST), and with the Bureau for Management Services (BMS) and Office of Audit and Investigations (OAI), support in troubleshooting and seeking solutions to enable CO programme and operational performance in compliance with UNDP rules, regulations and procedures in complex contexts, especially crisis-affected countries. 
• Provides advice and quality assurance of the design and implementation of internal control frameworks (ICF) and oversight processes in the country office. 
• Leads and provides advice on the implementation of the enterprise risk management policy and procedures, including risk assessments, risk analysis for decision-making, design and implementation of risk mitigation actions, risk escalation, amongst others. 
• Advises office(s) on the implementation of anti-fraud mechanisms and anti-money laundering and countering finance terrorism (AML/CFT) policies and procedures and provides hands-on support in addressing gaps. 
• Provides advisory services to assigned office on the implementation of the projects in line with corporate Social and Environmental Standards and facilitates oversight of adequate establishment of safeguards at country level. 
• Prepares data analysis and reports, with recommendations on control issues requiring management actions and interventions. 
• Responsible for office business processes mapping and development of risk-informed standard operating procedures (SOPs). Identifies opportunities for converting business processes into web-based systems to enhance efficiency, accountability, and risk management. 
• Oversees the quality of programmatic and institutional risk management practices and leads in the identification and implementation of solutions. 
   

2)    Strengthened implementation quality of Programmes and Projects 

• Provides advisory services in project formulation and implementation, including high-risk and Vertical Fund projects, on management arrangements, financial management, procurement, human resources, programme finance and enterprise risk management, in consultation with relevant staff in RBA COST and hubs, Crisis Bureau, Bureau for Policy and Programme (BPPS and BMS.
• Ensures compliance of project and programme management actions at the design, implementation, and closure stages, to ensure that they are implemented consistently and in accordance with corporate policies and standards.
• Coordinates the performance of the function of Harmonized Approach to Cash Transfers (HACT) oversight focal point for the assigned office(s).
• Provides advice and oversees the quality of HACT implementation, including advice on the management of project level cash transfers to implementing partners/responsible parties, follow-up to the HACT audits and inputs to the corporate audits follow-up.
• Provides oversight on processes to monitor management of partner agreements and to elaborate partnership frameworks and conditions of funding contributions and resource mobilization efforts.
• Reviews and advises on programme planning, resource allocation and consolidated project budget planning and pipeline management.
• Performs data analysis of programme/project design and implementation, and financial sustainability.
• Performs delegated tasks and backstopping support as and when requested by the supervisor.
• Plan the development of risk management strategy for the CO in accordance with the corporate Enterprise Risk Management (ERM) policy.
• Lead  risk management discussions and contribute to common tools and practices across the UNDP, UN, and other partners.
• Ensure the integration of risk management practice in programme and project management approach through application of risk management tools and platforms such as HACT, ICF, PCAT, SES, Procurement planning, PSDD and others as per ERM policy
• Coordinate with focal points for the various risk management processes (HACT, ICF, SES, AML/CFT) or act as the focal point for the same, in line with the guiding policies and frameworks for each component, to ensure that the CO remains compliant in these areas
• In coordination with the AML/CFT focal point and programme teams, ensure adherence and compliance with the AML/CFT policy and operational guide
• Ensure SES policy is fully applied and implemented for all projects, develop and monitor the CO SES implementation plan and raise any flags for Senior Management as per guidance on escalation. This includes ensuring there is a stakeholder response and grievance redress mechanisms for projects to manage SES risks.
• Initiate and facilitate discussions, supported through evidence-based research findings across partners to develop common and sustainable risk management tools, practices and capacity building programmes. 
• Contribute to the dissemination of best practices, and more broadly with the UNDP/UN in a ‘community of practice’.

3)    Oversight, compliance and assurance 

• Leads and coordinates efficient and client-oriented advice and quality assurance work for CO programme and operations activities
• Leads and coordinates efficient and client-oriented advice and quality assurance work for CO programme and operations activities.
• Ensure support to strategic planning and integrated business planning for the country office through facilitation of CO Integrated Work Planning process (IWP) and quality assurance as well as comprehensive country office pipeline management.
• Ensure compliance and quality assurance during the project design, implementation and closure stages.
• Ensure support to programme and project quality assurance, formulation of internal guidance and SOPs on corporate programme quality standards; advise and guide on correct programming instruments for different types of interventions and implementation approaches, and facilitation of internal capacity building for programme and project quality.
• Lead monitoring of financial exception reports for unusual activities, transactions, and conduct preliminary analysis on any anomalies or unusual transactions.
• Coordinate the development of a monitoring plan for the CO and oversee its implementation, its update and revisions in consultation with the RBA Programme Desk Officer 
• Ensure coordination and quality assurance of project monitoring through oversight, continuous monitoring, provision of technical advice and guidance to ensure there is a system for data collection, evidence gathering and verification of results to facilitate reporting in line with RBM principles 
• Guide and support programme teams and CO senior management in planning and managing evaluations as per approved evaluation plan, follow up on implementation of evaluation recommendations and using the evaluation results to inform new programme development.
• Ensure RBM practices are in place and projects are aligned to CPD and SP, oversee data collection for IRRF and CPD reporting.
• Coordinate with programme finance unit and programme teams in verifying and reviewing donor reports for completeness and compliance prior to their clearance and release by senior management. This involves verification of financial data, results reporting in line with RBM and evidence-based reporting supported by indicator data.
• Leads and coordinates with the CO teams in annual reporting and planning i.e., the ROAR and IWP exercises, the COBP process and mid-year reviews, the International Aid Transparency Initiatives (IATI) as appropriate, with guidance from senior management
• Act as focal point and liaison for the CO in coordinating responses to emerging corporate requests, including policy changes, updates, etc. 
• Facilitate knowledge building and management and ensures subject area knowledge transfer, capacity building and learning in the CO and with our implementing partners
• Ensure CO compliance with the International Aid Transparency Initiatives (IATI) as per the corporate policy.  
   

4)  Capacity Development and Knowledge Facilitation

• Contributes to development and delivery of modular training packages to strengthen COs’ and partners’ capacities in the programmatic and operational oversight and implementation of the CO portfolios. 
• Provides on-the-job demand-based capacity development support to CO staff in programme/project and operational management as needed. 
• Conducts analysis of data and case evidence to distill relevant lessons on policy implementation to promote advocacy for further policy changes as needed. 
• Contributes to country office capacity building efforts including the planning and delivery of workshops and learning events on programme and project management, including identifying best practices and knowledge exchange opportunities across the region. 
• Participates in and brings CO perspectives into the implementation of policy and strategic initiatives at the regional and HQ level in their respective areas of responsibility to support the key results, outcomes, and outputs of the UNDP Strategic Plan. 
• Contributes to partner capacity building initiatives, as and when required. 

The incumbent performs other duties within their functional profile as deemed necessary for the efficient functioning of the Office and the Organization. 

Supervisory/Managerial Responsibilities: This position will supervise and manage the Programme Finance Associate. 
 

Education

• Advanced university degree (master’s degree or equivalent) in Accounting/Finance, Auditing, Development Finance and Planning, Economics, Management or related area is required OR A first-level university degree (bachelor’s degree) in the areas in combination with an additional two years of qualifying experience will be given due consideration in lieu of the advanced university degree.
• Training certification in financial risk management is highly desirable. 

Experience

• Minimum of 2 years (with master’s degree) or 4 years (with bachelor’s degree) of relevant experience at national or international level in providing oversight and quality reviews, hands-on experience in programme design, concept note drafting and peer-review, project formulation, monitoring, reporting and evaluation of development projects is required. 
• At least 3 years’ experience in operational risk data management and analysis is an asset.
• Practitioner level experience in developing risk framework and/or coordinating risk assessments is an asset.
• At least 3 years Proven track record in developing and/or deploying operational risk measurement models is an asset.
• Demonstrated understanding of operational risk characteristics, including the development of Operational Risk Monitoring (ORM) tools, operational risk self-assessments, Scorecards, Key Risk Indicators (KRIs) is an asset.
• Experience in international organization and familiarity with UNDP management system is highly desirable especially in HACT procedures and Quantum functionality.
• Proven records in leadership, staff management and team building are an asset.
• Proven track record in developing and implementing strategic oversight and compliance plan is an asset.
• Proven track record in country office programming, monitoring and demonstrated ability to use data and analytics to inform strategy is an asset.
• Experience in resource mobilization is an asset. 

Language

• Fluency in written and spoken English is required.
• Working knowledge of another UN language is an asset.

Competencies

• Core Competencies:

Achieve Results: LEVEL 2: Scale up solutions and simplifies processes, balances speed and accuracy in doing work.

Think Innovatively: LEVEL 2: Offer new ideas/open to new approaches, demonstrate systemic/integrated thinking.

Learn Continuously: LEVEL 2: Go outside comfort zone, learn from others and support their learning.

Adapt with Agility: LEVEL 2: Adapt processes/approaches to new situations, involve others in change process.

Act with Determination: LEVEL 2: Able to persevere and deal with multiple sources of pressure simultaneously.

Engage and Partner: LEVEL 2: Is facilitator/integrator, bring people together, build/maintain coalitions/partnerships.

Enable Diversity and Inclusion: LEVEL 2: Facilitate conversations to bridge differences, considers in decision making. 

• Cross-Functional & Technical competencies

Leadership, Strategic Thinking & System Thinking: Ability to use objective problem analysis and judgement to understand how interrelated elements coexist within an overall process or system, and to consider how altering one element can impact on other parts of the system.

Finance & Audit Risk Management: Ability to address audit issues raised in the course of an audit and propose solutions in order to ensure a true and fair audit opinion is achieved.

Business Direction & Strategy & Business Acumen: Ability to understand and deal with a business situation in a manner that is likely to lead to a good outcome,
and knowledge and understanding of the operational frameworks in the organization and ability to make good judgments and quick decisions within such frameworks.

Business Management & Portfolio Management: Ability to select, prioritise and control the organizations programmes and projects, in line with its strategic objectives and capacity; ability to balance the implementation of change initiatives and the maintenance of business-as-usual, while optimising return on investment.

Business Direction & Strategy & Negotiation and Influence: Ability to reach an understanding, persuade others, resolve points of difference, gain advantage in the outcome of dialogue, negotiates mutually acceptable solutions through compromise and creates ‘win-win’ situations.

Business Management & Communication: Ability to communicate in a clear, concise and unambiguous manner both through written and verbal communication; to tailor messages and choose communication methods depending on the audience & Ability to manage communications internally and externally, through media, social media and other appropriate channels. 

Business Management & Risk Management: Ability to identify and organize action around mitigating and proactively managing risks.