General Information
| Job Description | AUDIT PROFL 4 | Working Title | Audit Professional 4 |
|---|---|---|---|
| Job Code | 005973 | Grade | 24 |
| Department Name | Audit & Advisory Services - D01098 | Department Head | Gregory Moore |
| Supervisor | Gregory Moore | Effective Date | 05/01/2023 |
Position(s) Directly Supervised
| Job Code | Title | FTE |
|---|
Generic Scope
| Technical leader with a high degree of knowledge in the overall field and recognized expertise in specific areas; problem-solving frequently requires analysis of unique issues/problems without precedent and/or structure. May manage programs that include formulating strategies and administering policies, processes, and resources; functions with a high degree of autonomy. |
Custom Scope
| Performs the full scope of auditing encompassing financial, compliance, information systems, and effectiveness reviews according to professional auditing standards. Exercises individual judgment in selecting methods, techniques and evaluation criteria for developing audit conclusions. Provides functional advice, training and/or guidance to less-experienced audit professionals. Normally receives high level oversight on audit assignments with general instruction provided on new or more complex audit work. |
Department Custom Scope
| This position performs audits, investigations and advisory services that encompass financial, compliance, functional and operational reviews of complex and diverse areas as a service to management in accordance with professional auditing standards, including those in specialized areas as health sciences for which there may be no existing precedent or structure. Audit scope encompasses risks that cross organizational lines and involve complex technology associated with the use of financial, health sciences, research and information resources. The auditor exercises individual judgement in making recommendations concerning the effectiveness and efficiency of activities audited and the adequacy of existing controls. Composes reports to auditee management which include audit observations and recommended changes. Composes and presents reports to promote recommended changes. Conducts the most complex audits with a high degree of autonomy including those in specialized areas such as health sciences and assist management in developing applicable policies, procedures and internal controls including the health sciences area. Provides advisory services to management, including School of Medicine and executive campus management. Performs various full scope examinations (including surveys, reviews and consultations). Performs data analytic procedures using general audit software (i.e. Microsoft Excel and TeamMate Data Analytics). Participates in assigned workgroups and committees, especially those related to the School of Medicine and other business process re-engineering (Lean Six Sigma) projects. Conducts any other assigned projects. Plans and conducts investigations, including any related to health sciences and communicate results of investigative work. |
Education & Experience Requirements
Education Requirements
| Degree | Requirement |
|---|---|
| Bachelor's degree in related area and/or equivalent experience/training. | Required |
Experience Requirements
| Experience | Requirement |
|---|---|
| 6 - 10 years of related experience. | Required |
| Experience in conducting internal financial, operational, functional and compliance audits in accordance with IIA and UC standards. | Preferred |
| Substantial and progressive experience performing audits, advisory services and investigations. | Required |
| Experience in performing Investigations. | Preferred |
| Experience in performing data analytics. Experience with automated TeamMate working papers | Preferred |
License Requirements
Certification Requirements
| Certification | Requirement |
|---|---|
| Professional certification. | Preferred |
| CIA, CISA CPA, CFE or CA. | Preferred |
Educational Condition Requirements
| Condition | Requirement |
|---|
Key Responsibilities
| Description | % Time |
|---|---|
Performs and/or leads audit projects of substantial complexity and/or scope. Involves preliminary survey and risk assessment activities and designs audit programs to accomplish review objectives.
|
35 |
| Conducts testing based on approved audit programs of the broadest scope and complexity, which may include tests of the financial and operating system processes, to identify internal control weaknesses and audit issues. | 15 |
May conduct investigations and assist with evaluation of allegations of improper government acts. Following full scope of investigation, recommends whether an allegation is substantiated. Follows up on management corrective actions to ensure completion.
|
15 |
Develops formal written reports to communicate audit results, and makes recommendations as appropriate. Presents results to senior leadership, as appropriate.
|
5 |
Coordinates external agency information requests and site visits; analyzes documentation to identify potential risks areas, facilitates review of external audit reports and findings, including management response.
|
5 |
| May independently manage specialized audit programs such as IT systems audits or investigations. | 5 |
| May be responsible for information technology auditing and/or advisory services including evaluation of general and security controls at the network, operating system, application, and/or data layers. | 5 |
| Serves as a lead in knowledge sharing and collaborating with other UC campus' audit capabilities in applicable areas of specialized expertise. Develops relationships with key leaders in operations, technology, and finance. Serves as subject matter expert in assigned workgroups and committees, especially those related to business process re-engineering projects and committee work. | 5 |
| Prepares and presents professional quality training classes to all levels, including the most complex subjects. Engages in various self and professional development activities. | 5 |
| Other duties as assigned. | 5 |
Knowledge, Skills & Abilities
| Knowledge/Skill/Ability | Requirement |
|---|---|
| Broad and thorough knowledge of finance, accounting, business and systems operations. | Required |
| Advanced knowledge of the audit profession, theories and systems of internal control, and professional auditing standards. | Required |
| Skills to determine and apply appropriate policies and practices in the completion of audit assignments. | Required |
| May require specialized expertise in enterprise software and relational databases. | Required |
| Excellent interpersonal and communication skills to work independently with all levels of University personnel, including management and faculty, and to facilitate agreement on issues and corrective actions. | Required |
| Superior communication skills to effectively and professionally communicate using tact and diplomacy with internal and external campus community personnel. Demonstrated skill in expressing ideas clearly and convincingly. Demonstrated skill in identifying the correct issues to be Required communicated, the appropriate audience, the method of communication and the timing of the communication. Demonstrated ability to clearly and accurately express substance and nuance. | Required |
| Advanced knowledge of Accounting Principles and IIA Standards. | Required |
| Strong Microsoft Excel skills. Skill in editing and formatting documents in word processing applications and creating spreadsheets and reports using appropriate software application. Skill in entering data into databases or spreadsheets. Experience using e-mail messaging and automated calendaring systems | Required |
| Must possess professional integrity, independence of attitude and objectivity. | Required |
| Advanced skill in analyzing policy issues, policies and procedures and other directives and form solid recommendations. Advanced skill in independently researching questions and making appropriate contacts for problem solving. Advanced skill in analyzing information, problems, situations, practices, or procedures to identify relevant concerns, identify patterns or tendencies, formulate logical and objective conclusions. | Required |
| Skill in working independently and following through on assignments with minimal direction. Skill in setting priorities that accurately reflects the relative importance of job responsibilities. Skill in performing a variety of duties, often changing from one task to another of a different nature. | Required |
| Skill in translating observations, findings, and recommendations from analytical studies into a concise and logical written report. | Required |
| Skill to independently compose letters, memos, reports, and other written communication materials, for a variety of audiences, using correct spelling, grammar, punctuation, composition, text editing and proofreading skills including knowledge of correct English grammar. | Required |
| Experience working autonomously and conducting higher education internal audits, investigations, information system reviews and contract & grant reviews. | Preferred |
Special Requirements & Conditions
| Special Condition | Requirement |
|---|---|
| Must pass a background check. | Required |
| Travel | Required |
| Travel Outside of Normal Business Hours | Required |
Other Special Requirements & Conditions
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Level of Supervision Received
| Direction |
Environment
Working Environment
| Campus |
Other Requirements
Items Used
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Physical Requirements
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Mental Requirements
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Environmental Requirements
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Critical Position
| Is Critical Position: Yes |