TITLE Senior Internal Auditor
CLASSIFICATION NUMBER 1660
IMMEDIATE SUPERVISOR Director of Internal Audit and Compliance
MAJOR ADMINISTRATOR Board of Governors
The Senior Internal Auditor is responsible for in-charge assignment of internal audits of University departments and activities under the supervision of the Director of Internal Audit and Compliance. Assignments vary in complexity and are carried out with minimal supervision. The Senior Internal Auditor reviews and analyzes transactions, documents, records, reports and accounts relating to University operations and functions and prepares acceptable working papers and audit reports of findings. Special reviews and projects may be assigned as requested by the Board of Governors and University administrators.
MINIMUM ACCEPTABLE QUALIFICATIONS
Education: Bachelor's degree in Accounting or related field is required. Certification as a CPA or CIA is preferred.
Experience: Four years experience in auditing, public accounting, or governmental accounting is required.
Skills: Strong verbal and written communications skills and the ability to communicate ideas, facts, and abstract concepts to people from all constituencies of the University is required. The ability to supervise a student and staff employee(s) is required. A functional knowledge of the use of computers in internal auditing, the ability to research, collect, organize and maintain accurate records/data, the ability to work with little supervision, to meet deadlines, to solve problems, and to make appropriate recommendations is required. Professionalism and objectivity under all circumstances is required. The ability to develop knowledge of, respect for, and skills to engage with those of other cultures or backgrounds is required.
ESSENTIAL DUTIES AND RESPONSIBILITIES
1. Under the direction of the Director of Internal Audit and Compliance, performs internal audits of University departments and activities in compliance with established guidelines and principles of auditing by understanding and documenting business processes, interpreting University policies and procedures, governance practices, and regulatory obligations, evaluating compliance with laws, policies, procedures, and regulation by comparing operating practices with established norms, and supporting the safeguarding of assets by reviewing the internal controls over those assets and verifying the existence of such assets.
2. Assesses complex activities to identify potential operational, financial, or compliance risks or potential fraud which warrant audit attention.
3. Contributes to the development of a total program of internal review and audit for the University by determining records and activities to be analyzed and planning work assignments for departmental audits.
4. Prepares acceptable work papers by researching, compiling, and analyzing data to be presented within internal audit reports.
5. Effectively communicates the results of audits by preparing final reports of audit findings.
6. Participates in departmental and employee education in the area of internal controls and policy and in monitoring audit actions taken by management.
7. Remains competent and current through self-directed professional reading, developing professional contacts with colleagues, attending professional development courses, and attending training and/or courses as required by the Director of Internal Audit and Compliance.
8. Contributes to a work environment that encourages knowledge of, respect for, and development of skills to engage with those of other cultures or backgrounds.
9. Contributes to the overall success of the University by working as a team member on audits and special projects and performing all other duties and responsibilities as assigned.
The Senior Internal Auditor is supervised by the Director of Internal Audit and Compliance and may be required, at times, to supervise student employees and/or graduate assistants.
OFFICE OF HUMAN RESOURCES
REVISED JULY 2016
JOB FAMILY 4
Factor 1: Professional Knowledge, Skill, and Technical Mastery
Level 4 - 2300 Points: Knowledge of the principles, concepts, practices, methods and techniques of an administrative, managerial, or professional field such as accounting or auditing, financial management, business administration, human resources, engineering, social sciences, communications, education, law, or medicine. Knowledge permits the employee to complete assignments by applying established methods to recurring types of projects/problems susceptible to well-documented precedents or to schedule, plan, and carry out precedented projects. Alternatively, knowledge at this level might also permit the employee to carry out precedented projects requiring considerable experience in specific areas within higher education. Knowledge at this level is typically acquired through a combination of formal education and/or training and experience that includes a requirement for a college degree in a specific technical or professional specialty along with significant related work experience. Alternatively, equivalent knowledge requirements at this level include a non-technical or general Bachelor's degree requirement with substantial work experience or a non-specific Master's degree requirement with substantial work experience. Knowledge requirements generally also include a significant amount of related work experience and may include administrative or supervisory experience.
Factor 2: Supervisory Responsibility
Level 2 - 130 Points: Regular, but limited, supervision, training, or directing the work assignments of (a) small numbers of student, part-time or temporary workers, or (b) one or more permanent, full-time employees. The nature of supervision is largely confined to scheduling work and assigning tasks. Supervision at this level typically does not include a full range of supervisory responsibilities, and supervisory duties typically do not consume a large portion of the work day.
Factor 3: Interactions with Others
Level 4 - 500 Points: Interactions with others are somewhat unstructured. The purpose may be to influence or motivate others, to obtain information, or to control situations and resolve problems. Interactions may be with individuals or groups of co-workers, students, or the general public, may be moderately unstructured, and may involve persons who hold differing goals and objectives. Individuals at this level often act as a liaison between groups with a focus on solving particular unstructured problems. Interactions at this level require considerable interpersonal skill and the ability to resolve conflict.
Factor 4: Job Controls and Guidelines
Level 3 - 500 Points: The employee operates under general supervision expressed in terms of program goals and objectives, priorities, and deadlines. Administrative supervision is given through statements of overall program or project objectives and available resources. Administrative guidelines are relatively comprehensive and the employee need only to fill in gaps in interpretation and adapt established methods to perform recurring activities. In unforeseen situations, the employee must interpret inadequate or incomplete guidelines, develop plans, and initiate new methods to complete assignments based on those interpretations. Assignments are normally related in function, but the work requires many different processes and methods applied to an established administrative or professional field. Problems are typically the result of unusual circumstances, variations in approach, or incomplete or conflicting data. The employee must interpret and refine methods to complete assignments. Characteristic jobs at this level may involve directing single-purpose programs or performing complex, but precedented, technical or professional work.
Factor 5: Managerial Responsibility
Level 4 - 1500 Points: Work involves the primary accountability for a smaller department, program, or process. Work activities involve managerial decisions that directly affect the efficiency, costs, reputation, and service quality of the department, program, or process. Work affects a limited range of professional projects or administrative activities of the University. Work activities have a direct and substantial impact on the department. While work activities do have some effect on the efficiency and reputation of the cost center, departments, programs, or processes at this level represent a relatively minor function within the cost center. Employees in jobs at this level may have responsibility for developing budgets, distributing budgeted funds, and exercising the primary control over a relatively small budget.