Compliance and Audit Officer

JOB DESCRIPTIONPosition: Compliance & Audit Officer

Department: Compliance / Audit
Reports To: Chief Executive Officer (CEO)
Works Closely With: HR, Accounting, Operations, Safety, Logistics, Warehouse, and Site Management
Company: Nextgen Metals Corporation
Industry: Scrap Metal Trading

Job Summary

The Compliance & Audit Officer is responsible for monitoring and ensuring that employees, departments, and operational sites comply with company policies, standard operating procedures (SOPs), work standards, and safety requirements. The role is responsible for receiving and handling reported cases, conducting fact-finding and investigations, interviewing involved employees and witnesses, identifying violations or non-compliance, and preparing investigation and audit reports for the CEO. The position works closely with HR, Accounting, Operations, and Safety to ensure appropriate corrective and preventive actions are implemented.

Key Responsibilities1. Compliance Monitoring

• Monitor employee compliance with company policies, rules, regulations, and established SOPs.
• Conduct regular audits and inspections of office, yard, warehouse, and operational activities.
• Check whether employees properly follow assigned work procedures and standards.
• Identify policy violations, procedural deviations, control weaknesses, and other forms of non-compliance.
• Recommend corrective actions and monitor implementation.

2. Safety Compliance

• Conduct regular inspections to verify compliance with company safety policies and required safety procedures.
• Check proper use of PPE and compliance with safe work practices.
• Monitor housekeeping, equipment safety, work areas, and other site safety conditions.
• Document safety violations, unsafe acts, and unsafe conditions.
• Coordinate with the Safety Officer and Site Management regarding identified safety concerns.
• Recommend corrective and preventive measures for recurring safety violations.

3. Case Handling & Investigation

• Receive and document reported employee, operational, financial, safety, and policy-related cases.
• Conduct impartial fact-finding investigations to establish the circumstances and facts surrounding a case.
• Interview employees, witnesses, supervisors, and other relevant persons.
• Review available documents, records, CCTV footage, reports, and other relevant evidence when authorized.
• Establish the timeline, circumstances, causes, and potential accountability related to incidents.
• Maintain confidentiality throughout the investigation process.

4. Incident & Investigation Reporting

• Prepare clear and objective Incident Reports, Investigation Reports, Audit Reports, and Compliance Reports.
• Document findings based on verified facts and available evidence.
• Identify root causes and contributing factors.
• Provide recommendations for corrective, preventive, and process improvement actions.
• Immediately report serious incidents, significant violations, safety risks, or suspected fraud to the CEO.

5. HR & Employee Case Coordination

• Work closely with HR on employee-related incidents and policy violations.
• Provide investigation findings and supporting documentation to HR for appropriate administrative action.
• Assist in reviewing employee explanations and supporting evidence when required.
• Ensure investigations remain factual, objective, confidential, and properly documented.

6. Finance & Accounting Compliance

• Assist in reviewing financial or operational transactions when an audit or investigation requires Accounting involvement.
• Check supporting documents, approvals, receipts, invoices, collections, and other records when assigned.
• Investigate reported discrepancies or irregularities in coordination with Accounting.
• Report significant financial control issues or discrepancies to the CEO.

7. Audit & Internal Control

• Conduct scheduled and special audits as directed by Management.
• Review whether departments are following approved processes and internal controls.
• Identify gaps and recommend improvements to reduce operational, financial, and compliance risks.
• Conduct follow-up reviews to verify that corrective actions have been implemented.

8. Reporting to Management

• Submit regular compliance and audit reports directly to the CEO.
• Provide updates on open cases, investigation status, audit findings, and corrective actions.
• Maintain a confidential database or monitoring file of cases, findings, and resolutions.
• Provide management with recommendations based on audit and investigation results.

9. Other Responsibilities

• Assist Management in developing and improving company policies, SOPs, and internal controls.
• Conduct compliance orientations or briefings when necessary.
• Support special investigations, audits, and management assignments.
• Perform other related duties assigned by the CEO or authorized Management representative.

Key Performance Indicators (KPIs)KPITargetWeightCompliance Audit Completion100% of scheduled audits/inspections completed15%Case Investigation Timeliness95% of cases completed within agreed timeline20%Investigation Report Accuracy100% properly documented and evidence-based15%Safety Compliance Monitoring100% scheduled safety inspections completed10%Policy/SOP Compliance95%+ compliance in audited areas10%Corrective Action Monitoring95%+ of agreed corrective actions monitored/closed10%Incident Reporting100% significant incidents promptly reported to CEO5%Audit & Case Documentation100% complete and properly filed5%Confidentiality & IntegrityZero substantiated confidentiality breaches5%Management Reporting100% accurate and timely submission5%

Total: 100%

Key Competencies

• Investigation & Fact-Finding
• Compliance Monitoring
• Safety Compliance
• Internal Audit
• Incident Management
• Root Cause Analysis
• Report Writing
• Risk Assessment
• Attention to Detail
• Confidentiality and Integrity
• Communication and Interviewing
• Problem Solving

Important Role Principle

The Compliance & Audit Officer should remain objective and fact-based when handling cases. The role is responsible for investigating, documenting, identifying findings, and recommending corrective actions, while final disciplinary decisions should remain with the appropriate Management/HR authority.

This structure makes the position particularly suitable for Nextgen Metals Corp.'s scrap metal operations, where compliance needs to cover both employee behavior and operational/safety standards.

Pay: Php25,000.00 - Php35,000.00 per month

Benefits:

• Free parking
• Health insurance
• Life insurance
• On-site parking
• Pay raise
• Promotion to permanent employee

Work Location: In person