Francis Bauren

Developed and maintained a comprehensive compliance risk register, enhancing the organization’s resilience against financial and operational risks. Led initiatives to strengthen risk management processes and improve internal controls, ensuring compliance with donor regulations and organizational SOPs. Provided financial compliance support and capacity building to subgrantees, enhancing their adherence to donor and organizational requirements.

1. Compliance Risk Management Support: Develop and support the update and monitoring of the organization's compliance risk register. Strengthen risk management processes to enhance organizational resilience.
2. Internal Controls and Governance: Regularly review internal controls for effectiveness and report on areas of improvement. Work closely with external auditors/reviewers and support their review process.
3. Audit Response and Implementation: Monitor management responses to audits and external reviews, ensuring timely implementation of agreed audit actions and recommendations.
4. Compliance Oversight: Ensure compliance with organization SOPs and regulations governing the organization's work. Assess subgrantees to ensure they have adequate systems, policies, and procedures in place for efficient donor fund administration. Subgrantee Financial Compliance: Set up, support, and improve subgrantee financial compliance. Conduct start-up and close-out workshops for program staff to understand contractual obligations and donor requirements.
5. Capacity Building and Support: Provide capacity building and support for subgrantees to ensure grants are managed in compliance with donor requirements. Track subgrantees' expenditure to prevent exceeding obligations and alert the Finance team when disbursements are required. Financial Reporting and Documentation: Review subgrantee financial reports and supporting documentation to ensure accuracy and completeness. Conduct routine compliance visits to ensure internal controls and accounting procedures align with best practices.
6. Risk Assessment and Mitigation: Develop risk assessment, response, and mitigation plans. Assess current contracts, systems, and procedures against donor requirements, developing tools and processes to ensure compliance across the organization. Technical Guidance and Support: Provide technical guidance and support in setting up systems to monitor adherence to financial and procurement rules in line with donor requirements.
7. General Responsibilities: Perform any other duties as might be assigned by the ExecutiveDirector and the Board.

Evaluated and improved the adequacy of fuel management systems, including conducting spot checks and recommending enhancements for compliance with internal controls. Reviewed financial transactions and asset management systems, contributing to improved transparency and financial accountability.

1. Evaluates the adequacy and effectiveness of the FAO’s Redan fuel coupons and Total smart card fuel system.
2. Reviews fuel coupon receipts and disbursements under the fuel coupons custodian.
3. Reviews coupons disbursed to implementing partners and establish how adequate is the current systems.
4. Reviews smart card fuel usage for official vehicles and generators to determine adequacy of the current system & report any matters incidental to the fuel management system.
5. Reviews the office asset registry and carry spot checks.
6. Makes recommendations for improvements or adequacy to the current system with emphasis on the disbursement and acquittal of fuel advanced and fuel usage in the running of official vehicles and the generators as well as the management of the assets.
7. Review Mukuru money transfer issues, security and general, specific tasks undertaken that were not explicitly outlined in the original Terms of Reference (ToRs). However, I took the initiative to review compliance protocols, identified systems and control deficiencies as well as ensured their resolution, demonstrating my commitment to delivering high-quality results beyond the initial scope.

Established and managed the Internal Audit and Compliance Unit, significantly improving the organization’s financial oversight and audit processes. Conducted institutional internal audits and grant compliance audits, ensuring strict adherence to UNDP’s standards and donor requirements. Developed strategic financial reports and presentations to support management decision-making and enhance transparency.

1. Establish and run an Internal Audit and compliance Unit. 2 Formulate the Finance, Risk, and Audit Committee Charter and ensure approval by the Main Board and update it annually, as appropriate.
2. Originate the Internal Audit and Compliance Charter; ensure approval by the Audit Committee; and update it annually.
3. Produce an annual plan and budget and ensure approval by the Audit Committee and update it where necessary.
4. Originate a performance plan, execute it, report on it, and follow up on all assignments undertaken.
5. Design and implement a quality program that is appraised on a yearly basis.
6. Formulate a policy and procedure manual that guides the processes and performance of Internal audits in accordance with best practices.
7. Perform institutional internal audits, check on the adequacy of internal controls, and advise Those Charged with Governance on system improvement as well as strengthening internal controls.
8. Audit Grant compliance and management systems to ensure programming and expenditures are as per the requirements of different funding partners, for example, the USAID Cost principles.
9. Audit sub-grantees advise Those Charged with Governance on system improvement and strengthening internal controls.
10. Perform special investigations or forensic audits at the Board's and Management's request.
11. Audit the risk management process of the organization and recommend any improvements to management and the board.
12. Report to the Board sub-committee, Finance, Risk, and Compliance, functionally on the risk posed by internal control inadequacy and system failure and administratively to the Executive Director.
13. Originate Audit trackers for both internal and external audits to ensure all recommendations are implemented.
14. Assess the entity’s preparedness for external audits.

Advised NGOs on risk management, financial reporting, and governance, focusing on enhancing their financial controls and compliance frameworks. Reviewed and developed SOPs, financial policies, and internal controls, strengthening clients' financial management practices.

1. Review the accounting systems and Internal control of different Developmental partners.
2. Generating Standard operating procedures as well as reviewing and originating procedure manuals.
3. Advisory on risk management aspects of the entities.
4. Financial reporting and governance.
5. Grant compliance and management systems.
6. Performing agreed-upon audit and assurance services.

Managed grants totalling over USD 4.5 million, ensuring compliance with donor requirements and accurate financial reporting. Developed and monitored project budgets, provided financial analysis, and contributed to the strategic financial planning of national programs.

1. Grant/ Programme and Projects accounting.
   • Partner Financial Management.
   • Financial reporting for the overall Consortia as Lead Partner.
   • Manage disbursements to consortia partners.
   • Programme budgeting for the Lead Partner and other Consortia members.
   • Spearhead spot checks
2. Financial Reporting and governance for Legal Resources Foundation.
3. Risk management.
4. Capacity building.

Led internal audit and compliance services for USAID-funded projects, contributing to significant improvements in financial oversight and compliance. Managed a team of 10 audit professionals, providing training and leadership to enhance team performance and client service delivery.

1. Internal Audit Risk and Compliance Services programme oversight.
2. Lead agreed upon audits projects for USAID and EU funded projects.
3. Lead forensic and Internal Audits projects for different clients.
4. Writing audit reports for the reviewed by the Audit Manager and signed off by the Partner.
5. Lead Risk management processes.
6. Staff management and capacity building

1. Internal audit control programme oversight for 7 strategic business units nationwide within the ports of entry through Internal controls operational effectiveness reviews.
2. Perform external audits projects for external auditors of the Organization.
3. Perform Value for Money, operational audits and special investigations/forensic audit for the entity.
4. Lead Risk management processes.
5. Audit reporting and presentation.
6. Staff management and capacity building.

1. Internal audit control programme oversight for 36 strategic business units nationwide within farming regions through Internal controls operational effectiveness reviews.
2. Undertake external audits projects for external auditors of the Organization.
3. Lead Value for Money and operational audits.
4. Lead Special investigations/forensic audit.
5. Contribute to Risk management processes.
6. Perform Annual stock takes.
7. Audit reporting and presentation.
8. Contribute to departmental budgetary processes
9. Staff management and capacity building.

1. Financial, cost and management reports, year-end audit schedules.
2. Financial forecasts and budgets. 3.Cash books, debtors/creditors, payroll, statutory payments, and tax compliance.
3. Payroll, Stores and Mine shops management.
4. Staff management and capacity building.