General Information
| Job Description | AUDIT PROFL 3 | Working Title | Associate Auditor |
|---|---|---|---|
| Job Code | 007575 | Grade | 22 |
| Department Name | Audit & Advisory Services - D01098 | Department Head | Gregory Moore |
| Supervisor | Gregory Moore | Effective Date | 07/25/2022 |
Position(s) Directly Supervised
| Job Code | Title | FTE |
|---|
Generic Scope
| Experienced professional who knows how to apply theory and put it into practice with in-depth understanding of the professional field; independently performs the full range of responsibilities within the function; possesses broad job knowledge; analyzes problems/issues of diverse scope and determines solutions. |
Custom Scope
| Performs the full scope of auditing encompassing financial, compliance, information systems, and effectiveness reviews according to professional auditing standards. Normally receives general instructions on routine audit work with detailed instruction on new or more complex audit assignments. May provide functional advice, training and/or guidance to less-experienced audit professionals. |
Department Custom Scope
| Under the general direction of the Director of Audit and Advisory Services, the Associate Auditor 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. Audit scope encompasses risks that cross organizational lines and involve complex technology associated with the use of financial, research and information resources. Makes recommendations concerning the effectiveness and efficiency of activities audited and the adequacy of existing controls. Composes and presents reports to auditee management which include audit observations and recommended changes. Conducts complex audits and assists management in developing applicable policies, procedures and internal controls. Provides advisory services to unit and executive campus management. Performs various limited scope examinations such as surveys, limited scope 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 and other business process re-engineering projects. Conducts any other assigned projects. Plan and conduct investigations of allegations of improper governmental activities and communicates 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 |
|---|---|
| 4 - 7 years of related experience. | Required |
License Requirements
Certification Requirements
| Certification | Requirement |
|---|
Educational Condition Requirements
| Condition | Requirement |
|---|
Key Responsibilities
| Description | % Time |
|---|---|
Conducts testing based on approved audit programs of moderate to high complexity, which may include tests of the financial and operating system processes, to identify internal control weaknesses and audit findings.
|
35 |
| Independently performs audit projects at all levels of complexity. Involves preliminary survey and risk assessment activities. Under guidance, designs audit programs to accomplish review objectives. | 20 |
Develops formal written reports to communicate audit results to campus management, and makes recommendations as appropriate.
|
10 |
| May participate in investigations and assist with evaluation of allegations, including improper government acts. Follows up on management corrective actions to ensure completion. | 5 |
| May be responsible for external audit liaison duties: coordinates external agency information requests and site visits; analyzes documentation to identify potential risk areas. | 5 |
| Prepares and presents professional quality training classes, including the most complex subjects. Engages in various self and professional development activities. | 5 |
| May independently manage specialized audit programs such as IT systems audits or investigations. | 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 |
| Provides 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. Participates in assigned workgroups and committees, especially those related to business process re-engineering projects and committee work. | 5 |
| Other duties as assigned. | 5 |
Knowledge, Skills & Abilities
| Knowledge/Skill/Ability | Requirement |
|---|---|
| Broad knowledge of finance, accounting, business and systems operations. | Required |
| Thorough knowledge of the audit profession, theories and systems of internal control, and professional auditing standards. | Required |
| Strong interpersonal and communication skills to present sensitive information with diplomacy and in a clear and concise manner. Presents to a wide variety of audiences, including senior management and external agencies. | Required |
| Gathers, organizes and performs analysis for moderately complex audit assignments. Is working on mastering more advanced audit concepts and applications in the completion of assignments. | Required |
| May require specialized expertise in enterprise software and relational databases. | Required |
| Excellent 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 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 |
| Knowledge of Accounting Principles and IIA Standards. | Required |
| Must possess professional integrity, independence of attitude and objectivity. | Required |
| Skill in analyzing policy issues, policies and procedures and other directives and form solid recommendations. Skill in independently researching questions and making appropriate contacts for problem solving. 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 translating observations, findings, and recommendations from analytical studies into a concise and logical written report. | Required |
Special Requirements & Conditions
| Special Condition | Requirement |
|---|---|
| Must pass a background check. | Required |
| Travel Outside of Normal Business Hours | Required |
| Travel | Required |
Other Special Requirements & Conditions
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|
Level of Supervision Received
| General Supervision |
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 |