Complaints Manager at Auditor-General of South Africa

Job description

Requirement Overview

The purpose of the job is to be the primary process owner to manage the complaints received from both external and internal stakeholders against the AGSA or its employees. Management of these complaints includes receipt, processing, investigating complaints and ensuring transparency, fairness, objectivity and timeliness in resolution thereof. The role includes engagement with impacted stakeholders, namely complainants, executives and staff impacted by the complaints, other process owners required to assist with investigations where required and the executive leadership. Analysis and reporting on complaints and trends thereof is the second primary responsibility for this role, including assessment of root causes and determining required process improvements within the complaints management process; and influencing changes in other business processes affected by recommendations provided.

In addition, the Complaints Manager will fulfil the role to develop and implement the following new functions:

• fraud prevention plan and activities
• management of the whistle blowing processes and tool, including conducting or facilitating investigations
• drive related awareness and report to respective governance and oversight structures.

Roles & Responsibilities

Processing of complaints:

• Receipt and assessment of complaint whether within scope of the AGSA as per PAA and complaints policy
• Acknowledgement of complaint through correspondence with internal or external complainant
• Categorisation and risk assessment of the complaint
• Recording of the complaint on central system/ register and opening of a complaint file
• Engagement with business and corporate executives in whose portfolio the complaint resides to agree on categorisation, risk assessment and approach of investigation
• Identification of dependencies (other process owners or external experts) required to investigate the complaint and engagement with them
• Conduct information gathering sessions with complainant
• Conduct or facilitate investigation, collect and maintain required information, supporting documents
• Conduct interviews with subjects of the complaint where necessary
• Engage complainant to follow up on additional required information
• Assessment of evidence, reports from other experts/ process owners to determine comprehensive outcome
• Draft complaint outcome report, with recommendations for resolution
• Discuss complaint outcome with impacted executives, National Leader and DAG where required
• Engagement with complainant on outcome, including explanation of how the outcome was arrived at
• Coordinate any appeals for DAG office where the complaint is dissatisfied with the outcome
• Handle all correspondence and queries related to a complaint

Management of complaints process:

• Establishment/ defining the complaints management process, policy and related procedures
• Identify and implement process improvements within the complaints management process in response to environment factors and changes, weaknesses and legislative requirements
• Maintenance and updating of the central complaints system or register (for accuracy, completeness, validity)
• Management of all records, files, evidence for all complaints in line with related policies and procedures Maintain a complete
• Monitoring of the complaints process and timelines in line with the complaints policy and procedures
• Review and analyse trends on complaints and report accordingly to governance structures, executive leadership
• Create and maintain awareness to both internal and external stakeholders on the use, purpose and benefits of the complaints management process
• Sharing of complaints trends and outcomes with a wider audience for purposes of awareness, reporting to external bodies i.e. SCoAG to meet governance and legislative requirements; annual reporting
• Initiate sourcing and contract management of short term contractors or consultants where external capacity is required to investigate a complaint

Managing complaints appeals:

• All complaint appeals are to be reviewed by the DAG in line with the complaints policy
• Manage the appeals process on behalf of the DAG’s office
• Collate and review appeal supporting documentation or information from the complainant in preparation of the appeal process
• Identify in consultation with the DAG role players required to handle each appeal on the merit and nature of appeal
• Coordinate the required role players responsible or participating in the review of the appeal
• Draft outcome reports from the appeal committee
• Communication of appeal outcomes to complainants
• Maintenance of records and file of each appeal and outcome thereof
• Updating of complaints system/ tool with appeals received, processes and finalised

Overall monitoring role:

• Identification of key information and trends arising from complaints that impact other business process; consultation with impacted processes owners and influence required changes
• Monthly and quarterly reporting to the relevant internal stakeholders on the progress and outcomes of the complaints (AG, DAG, Legal, Communications, NL office)

Stakeholder engagements:

• Primary stakeholders: AGSA Executive leadership, auditees leadership for audit and conduct related complaints, internal staff for internal conduct related complaints, members of the public
• Organise, facilitate and prepare information for meetings/sessions with the stakeholders
• Conduct meetings and/or interviews with different stakeholders
• Manage other process owners required to participate in a complaint investigation or review at a level of business executives or senior managers
• Manage 3rd party contractors where they are used for the investigation process
• Ensure timely communication of progress reports to the relevant stakeholders

Reporting:

• Provide input for organisational strategic and operational reporting on complaints for the following purposes:
• Exco reporting
• SCoAG
• Audit Committee reporting
• QCAC reporting
• Annual report
• Strategic quarterly reporting
• Quarterly organisational reporting of trends, root causes and remedial actions
• Monthly, quarterly reporting to the relevant internal stakeholders on the progress and outcomes of the complaints

Management of whistle blowing mechanism:

• Draft, implement and manage the fraud prevention strategy and plan
• Develop and implement process supporting the legislative requirements brought on by the Prevention and Combating of Corrupt Activities Act
• Source and implement the appropriate whistle blowing mechanism fit for AGSA purpose
• Develop an investigation process, supported by a policy and procedure, for dealing and managing with reported cases
• Conduct or manage (where other role players are used) the investigative approach and process, and perform investigations under the strategic direction of the RE HOU
• Create awareness and maintain visibility of the whistle blowing mechanisms
• Management of reported cases in line with the approved process

Ad-hoc duties (Applicable to All JD’s):

• Perform and/or manage other projects, tasks and assignments not stipulated on the Job description as and when required
• Collaborate and support the ethics function where required

Skills, Experience & Education

Qualifications:

Honours degree qualification - an audit, forensics or ethics related degree will be a recommendation

Knowledge:

In-depth knowledge of the IFAC code of Ethics, ISSAI 30 and ISQC

Experience:

• At least 5 years work experience in the ethics / audit/ anti-corruption / governance field; either in the public or private sector or in a professional environment.
• Experience in conducting investigations.
• Experience in ethics / governance.

Closing Statement

These appointments are subject to the preferred candidates obtaining the necessary security clearance, reference checking and competency assessment.

We embrace employment equity and are committed to achievement of fair and equal representation of our workforce.

Preference will be given to internal applicants and candidates from previously disadvantaged backgrounds.

Auditor General welcomes applications from all persons with disabilities

Recruitment Agencies are only allowed to submit CVs for people living with disabilities.

CLOSING DATE: 19 JULY 2017