Job description for the head of the internal control department

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Job description for the head of the internal control department. Full document

Occupational Safety and Health

Occupational Safety and Health / Job descriptions

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I. General Provisions

The head of the internal control department belongs to the category of specialists of the open joint-stock company "_______" (hereinafter referred to as the Bank).
In his activities, the Head of the Internal Control Department is guided by:

the current legislation of Ukraine and regulations of the Bank of Ukraine;
decisions of the meeting of shareholders, the Board of Directors and the Management Board of the Bank;
the Charter of the Bank;
Regulations on the organization of internal control;
internal documents regulating the activities and defining the policy of the Bank;
this Job Description.

The Head of the Internal Control Department reports directly to the Chairman of the Management Board of the Bank. Operates under direct control and works according to the plan approved by the Board of Directors of the Bank.
During the absence of the Head of the Internal Control Department (vacation, illness and other reasons), his duties are performed by a person appointed by order of the General Director of the enterprise. This person acquires the appropriate rights and is responsible for the high-quality and timely performance of the duties assigned to him.

II. Official duties

The head of the internal control department is obliged to:

Organize constant control through regular inspections of the activities of the Bank's divisions and individual employees for compliance of their actions with the requirements of legislation, regulations and standards of professional activity, internal documents regulating the activities and defining the policy of the Bank, job descriptions.
Ensure constant control over the observance by the Bank's employees of the established procedures, functions and decision-making powers.
Develop recommendations and instructions to eliminate identified violations.
Monitor the implementation of recommendations and instructions to eliminate violations.
Ensure documentation of each inspection fact and draw up conclusions based on the results of inspections, reflecting all issues studied during the inspection, identified shortcomings and violations, recommendations for their elimination, as well as for the application of disciplinary and other measures to violators.
Ensure the safety and return of documents received from the relevant departments.
Submit conclusions based on the results of inspections to the management of the Bank and the relevant divisions of the Bank in order to take measures to eliminate violations, as well as for the purpose of analyzing the activities of specific employees of the Bank.
Timely inform the governing bodies of the Bank:

about all identified cases of violations by employees of the law, regulations, internal orders;
all newly identified risks;
on all revealed violations of the procedures established by the Bank related to the functioning of the internal control system;
on the measures taken by the heads of the audited divisions of the Bank to eliminate the violations committed and their results.

III. Rights

The head of the internal control department has the right to:
Receive from the heads and employees authorized by them of the audited unit the documents necessary for the audit, including:

orders and other administrative documents issued by the management of the Bank and its subdivisions;
accounting, accounting and reporting and monetary settlement documents;
documents related to computer support for the activities of the audited division of the Bank.

Determine the compliance of actions and operations carried out by the Bank's employees with the requirements of the current legislation, Bank of Ukraine regulations, internal documents of the Bank that determine the Bank's policy, decision-making and implementation procedures, organization of accounting and reporting, including internal information on decisions made, transactions (concluded transactions), the results of the analysis of the financial position and the risks of banking activities.
Involve, if necessary, employees of other structural divisions of the Bank to solve internal control problems.
To enter the premises of the inspected unit, as well as the premises used for storing documents (archives), cash and valuables (cash vaults), computer data processing and data storage on machine media, with the obligatory involvement of the head or, on his behalf, an employee ( employees) of the audited unit.
With the permission of the Chairman of the Management Board of the Bank, independently or with the help of employees of the audited unit, make copies of the received documents, including copies of files, copies of any records stored in local area networks and autonomous computer systems, as well as transcripts of these records.

IV. A responsibility

The head of the internal control department is responsible for:

For improper performance or non-performance of their official duties provided for by this Job Description - within the limits determined by the current labor legislation of Ukraine.
For offenses committed in the course of carrying out their activities - within the limits determined by the current administrative, criminal and civil legislation of Ukraine.
For causing material damage - within the limits determined by the current labor and civil legislation of Ukraine.

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