AML or Gambling Directorates, Regulatory Services, PRC

Transcription

1 Forensic Accountant AML or Gambling Directorates, Regulatory Services, PRC As one of Government s larger regulators, Regulatory Services aims to minimise harm and maximise benefits through effective oversight of anti-money laundering and countering financing terrorism, gambling, anti- spam and censorship regulatory systems. We are a responsive riskbased regulator that uses innovation and collaboration to maximise our impact to achieve desired outcomes for New Zealand communities. The Forensic Accountant position is responsible for applying accounting, auditing and investigative skills that inform sector analysis and education. The position is also responsible for providing Forensic Accounting support to serious and complex investigations, licensing, targeted regulatory outcomes and enforcement and compliance activities. The Forensic Accountant roles support the work of the Gambling or AML Directorates. Reporting to: Manager, Investigations (Gambling) or Manager Service Design (AML) Location: Wellington or Auckland Salary range: Corporate Services I What we do matters our purpose Our purpose is to serve and connect people, communities and government to build a safe, prosperous and respected nation. In other words, it s all about helping to make New Zealand better for New Zealanders. How we do things around here our principles We make it easy, we make it work Customer centred Make things even better We re stronger together Work as a team Value each other We take pride in what we do Make a positive difference Strive for excellence Page 1 of 9

2 Working effectively with Māori The Department of Internal Affairs Te Aka Taiwhenua our Māori Strategic Framework enables us to work effectively with Māori. We accept our privileged role and responsibility of holding and protecting the Treaty of Waitangi / Te Tiriti o Waitangi. Page 2 of 9

3 What you will do to contribute As a result we will see Leadership Provide intellectual and technical leadership and direction in relation to the accounting and forensic elements of the AML or Gambling Directorate s work to achieve successful regulatory outcomes Model the Department s values by using best practice and proven accounting, audit and investigative methods and practices; promoting continuous improvement and innovation; demonstrating a commitment to achieving successful and timely licensing decisions, and other regulatory outcomes Lead and contribute to the innovation and development of initiatives that support risk based regulatory practice Capability Development Work with the relevant Manager Service Design and Practice Leaders to implement best practice accounting, audit and financial investigative methods, tools and practices within the Gambling or AML Directorates Utilise specialist skills and knowledge to build investigative capability by coaching, mentoring and assisting others within the Gambling or AML Directorates and across the wider Regulatory Services Group to develop skills and an increased understanding of complex financial information and transactions Provide support, coaching and intellectual leadership to Directorate staff in the relevance and review of business financial records Identify any gaps in staff or sector understanding of best practice accounting or audit standards and work with others to address them Support the Directorate to respond to queries from regulated parties and organisations by providing expert advice on accounting and financial reporting related matters Proactively identify opportunities for improving materials and resources for the sector on the accounting standards and general financial management Innovative operational initiatives are developed and implemented to achieve outcomes The Directorate s operations are backed by solid technical forensic accounting expertise Managers and Practice leaders are supported in achieving the Directorates outcomes The correct application of best practice accounting, audit and investigative methods and practices and the law to wellplanned, detailed and thorough investigations Regulatory Services staff are assisted to understand best practice accounting, audit and financial investigative methods, tools and practices in the context of their work Work delivered is accurate and to appropriate quality and timeliness standards Clear advice is provided that can be understood by nonaccountants and that reflects an appreciation of the issues faced by the sector Constructive feedback is given to others and approach adapted so that it is appropriate to their level of experience and learning style Education resources accurately reflect relevant standards Page 3 of 9

4 What you will do to contribute As a result we will see Compliance Analysis and Risk Management Contribute to the identification, collection and sharing of intelligence related to people, events and organisations in the sector Work with Managers and Practice Leaders to promote effective team work and the sharing of information and intelligence across Regulatory Services in order to avoid duplication of effort and maximise the Directorate s investigative capability Provide reporting or data as requested to support risk based regulatory practice across the Directorate Monitor and report on the risks associated with investigations from a financial perspective and work with the wider Directorate to develop and implement effective risk mitigation strategies and achieve successful outcomes Regulatory/supervisory and security information and intelligence is appropriately recorded and shared. Clear reports or data is provided that can be understood by nonaccountants that demonstrates potential risks or issues faced by the sector Escalate investigation risks and issues to senior managers where relevant and appropriate Page 4 of 9

5 What you will do to contribute As a result we will see Work Programme Contribute to the development of the Directorate s work programme by planning and delivering analysis of complex financial data to support licensing or compliance outcomes Apply specialist forensic accounting skills and knowledge to the assessment of licensing applications, investigations and other compliance initiatives to assess strengths and weaknesses, determine strategy and ensure informed decision making Develop plans and make appropriate recommendations with respect to the forensic accounting analysis to be undertaken, the methods to be applied and the objectives to be achieved Support decision making by utilising knowledge of financial reporting systems, business information, accounting and auditing standards, as well as evidence gathering and investigative techniques and litigation processes Prepare correspondence, formal written statements and other relevant reports, recommendations and supporting documents to an evidential standard and, if required, to provide expert oral evidence to a court hearing or other legal process as an expert witness Undertake quality assurance and peer review of forensic financial analysis across the Directorate and wider Regulatory Services Group Contribute to the delivery of timely, quality and successful compliance outcomes and licensing decisions Work effectively across the team to manage workloads and meet deadlines The forensic accounting component of the Directorates regulatory work is thoroughly assessed, well planned, reviewed and executed Robust, considered and timely recommendations are made to the Manager The Manager receives timely alerts to any real or potential risks relating to the investigations or assessments carried out by the Directorate Effective contribution to investigation and prosecution outcomes that achieve the Directorates objectives In-depth financial analysis to inform recommendations regarding the integrity of people and organisations in the sector Page 5 of 9

6 What you will do to contribute Relationship Management Build and maintain effective working relationships with the Practice Leaders, Manager Service Design, managers, investigators and regulatory or compliance staff within the Directorate to promote financial and accounting literacy and the use of forensic and best practice accounting practices. Build and maintain effective working relationships to ensure best practice forensic accounting practices and an integrated and coordinated approach to investigations, audits, prosecutions, licensing and other compliance outcomes Build and maintain effective working relationships with managers and staff across PRC and wider DIA particular Legal Services and the Charities Services in terms of potential shared approaches and targeting Maintain appropriate relationships with external agencies such as other AML supervisors, Police, Serious Fraud Office and IR to contribute to all of government investigations and compliance outcomes and participate in the broader community of investigative and audit best practice. Work effectively with, and assist in representing the view of Regulatory Services to the regulated/supervised parties, other professional accountancy bodies and government departments Health and safety (for self) Takes personal responsibility for keeping yourself free from harm Follows safe working procedures Reports incidents promptly Reports hazards promptly and suggests appropriate remedies Knows what to do in the event of an emergency Co-operates in implementing rehabilitation plans As a result we will see Effective working relationships with internal and external stakeholders that assists each stakeholder to achieve their outcomes Staff understand the use of best practice accounting, audit and financial investigative methods, tools and practices in the context of their work Innovative approaches are developed and implemented that align with responsive risk based regulation The Department has effective connections between regulatory directorates on issues relating to financial and accounting matters The Department is wellconnected to other government agencies and promotes collaboration and appropriate information sharing A safe and healthy workplace for all people using our sites as a place of work Health and safety guidelines are followed Page 6 of 9

7 Advise Collaborate with Influence Inform Manage/ lead Deliver to The Department of Internal Affairs Who you will work with to get the job done Internal Manager Investigations or Manager Service Design Manager Operations and practice leaders Investigators and /or Regulators Director/Deputy Director Gambling and AML Legal Services Other Regulatory Services management and staff External External accountants and auditors Other Government agencies including External Reporting Board and other professional bodies Enforcement agencies e.g., SFO, Police Sector organisations and their representatives or professional advisors AML supervisors Your delegations Human Resources and financial delegations Direct reports Statutory Delegations Your success profile for this role At DIA, we have a Capability Framework to help guide our people towards the behaviours and skills needed to be successful. The core success profile for this role is Specialist. Level Z Nil Delegations under the Gambling Act 2003 in accordance with the Regulatory Services Schedule of Delegations Anti-Money Laundering and Countering Financing of Terrorism Act (whichever is relevant) What you will bring specifically Experience: Prior proven experience in Forensic Accountant role or similar capacity Page 7 of 9

8 Your success profile for this role Keys to Success: Problem solving Critical thinking Interpersonal savvy Navigating complexity Communicating with influence Technical and specialist learning What you will bring specifically Experience in interpreting and understanding financial and performance reporting standards Experience providing advice on accounting, auditing and/or financial analysis in a regulatory/investigative or law enforcement environment Excellent relationship management skills Knowledge: In-depth knowledge of complex financial information, structures or arrangements In-depth and proven knowledge of accounting, auditing and investigative methodology, techniques and tools The ability to read, interpret, understand and apply legislation Knowledge and understanding of modern regulatory practice and compliance functions and purpose Skills: Excellent oral and written communication skills, with the ability to translate technical information into 'plain English' that can be understood by non-accountants; Able to prepare correspondence, briefs of evidence and relevant reports, recommendations and supporting documents to an evidential standard. Proven ability to analyse and assimilate large volumes of complex financial information and distil salient facts Outstanding planning and organisational skills Proven ability to establish, build and maintain close working relationships with colleagues and stakeholders The ability to work under pressure and with little supervision to meet deadlines, set priorities and meet the requirements of management Other requirements: Education and Professional Memberships Member of the Chartered Accountants Australia and New Zealand (CAANZ) or other equivalent and relevant professional Page 8 of 9

9 Your success profile for this role What you will bring specifically memberships Evidence of maintaining continuous professional development is essential Other The appointee may be required to hold a statutory warrant under relevant legislation and would be required to exercise powers and comply with any restrictions associated with that statutory position The appointee will be subject to police and credit clearance and an appropriate level of security clearance before an appointment is made Page 9 of 9