Auditor

Summary

Job Category:
General Administration
Job Title:
Auditor
Job Category Definition:
This Job Category provides advisory support to senior management and/or the University-wide community including areas such as strategic planning, project management, risk management, compliance assurance, finance/budget, human resources, facilities/space planning, information technology, constituent/Board relations and/or legal counsel. May lead these activities and/or supervise employees responsible for these areas.
Job Title Definition:
The Auditor applies auditing and accounting principles, practices and standards to a full range of financial, programmatic functions, and/or systems and IT systems; work may include independent examination and analysis of risks, internal controls, complex reports, records, financial statements and/or systems and IT systems for accuracy, completeness and conformance to guidelines and statutes; recommends changes to systems or programs and/or determine liability and/or penalties; conducts presentation of audit findings and other reports to University senior management and unit management; researches practices and federal audit findings at other institutions to determine audit risk and scope; provides consultation to assure University policies and procedures adequately address risks and provide for adequate internal controls to mitigate risk; conducts investigations into possible fraud, waste, or abuse as reported on the hotline; may consult or assist with internal University committees, task forces and advisory groups to discuss best practices; may serve as a mentor or lead in the training and development of other auditors. Duties are performed at various levels within the defined title.
Working Conditions:
Specific physical requirements and effort are outlined in Job Responsibilities Worksheet (list of essential job duties and responsibilities specific to a particular job at the unit level) in accordance with the Americans with Disabilities Act of 1990 (ADA).
Other Requirements:
 

Levels

Level 1  

Level Details
Job Code Salary Band FLSA Status
ADEA0501 G Non-Exempt

Level 1 positions typically demonstrate baseline working knowledge of routine work applications; follow standard principles and systems and use appropriate terminology associated with a particular field of specialization; participate as a team member in a collaborative environment within a diverse workforce; actively contribute to completion of team goals and assigned tasks; clearly communicate information, ideas, or instructions verbally and in writing; follow recommended approach to assigned work to facilitate achievement of desired results; demonstrate effective and sustainable use of University resources in conduct of audits and decision-making processes; typically work under direct and frequent supervision while performing routine duties using established procedures with detailed instructions.

Typical Education & Experience

0 years related experience

Bachelor’s Degree or higher

Or an equivalent combination of education and experience
Typical Work Duties
  • Assists in performing audit field work based on existing audit plans; may perform less complex audits under the supervision of more senior auditors
  • Performs basic audit of information technology systems and internal financial/operational controls
  • Uses applicable systems/programs to perform the auditing function
  • Identifies initial report issues and assists with the distribution to unit management
  • Monitors and provides status reporting of prior audit recommendations for assigned areas. Refer non-standard questions and problems to higher levels
  • May participate in compliance and project implementation meetings

This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.

Level 2  

Level Details
Job Code Salary Band FLSA Status
ADEA0502 I Exempt

Level 2 positions typically demonstrate intermediate knowledge of the concepts, practices and procedures of a particular field of specialization; perform intermediate tasks in defined skill areas/applications by continuously building on current job knowledge; maintain effective relationships with peers, vendors, and others in a diverse environment; support team decisions and follow through with team responsibilities; interpret information, ideas and instructions and communicate clearly and accurately both verbally and in writing including materials intended for distribution; determine causes of unusual occurrences and apply standard principles and practices to determine and implement solutions; demonstrate effective and sustainable use of University resources in conduct of audits and decision-making processes; typically work under general supervision, while performing assignments that are varied and that may be somewhat difficult in character, but usually involve limited responsibility.

Typical Education & Experience

2+ years of related experience

Bachelor's Degree or higher

Or an equivalent combination of education and experience
Typical Work Duties
  • Participates in all aspects of the end-to-end audit process to include engagement planning, coordination, risk and control identification
  • Performs audit fieldwork and testing
  • Uses applicable systems/programs to perform the auditing function
  • Identifies issues, makes recommendations for review, and distributes such issues to unit management as appropriate
  • Recommends changes to strengthen the internal controls and improve processes
  • Documents audit issues, recommendations, and procedural comments as appropriate. May draft formal and internal reports for assigned audits
  • Monitors and follows-up on status of prior audit recommendations to ensure that report recommendations are being implemented on a timely basis. Refers non-standard questions and problems to higher levels
  • Participates in compliance and project implementation meetings

This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.

Level 3  

Level Details
Job Code Salary Band FLSA Status
ADEA0503 J Exempt

Level 3 positions typically demonstrate proficient and comprehensive knowledge of defined skill areas/applications to integrate fundamental elements from other specialties into work assignments; apply knowledge of principles, practices, and procedures of a particular field of specialization to complete difficult assignments; promote a culture that is conducive to effective relationships among diverse team members; demonstrate effective and sustainable use of University resources in conduct of audits and decision-making processes; may lead a project team involved in completion of difficult assignments, requiring proficient knowledge of field of specialization; interpret and communicate information, ideas and instructions clearly, accurately and persuasively both verbally and in writing including materials intended for distribution; recognize changing operational and industry-wide conditions, incorporate new ideas into group processes and apply creative thinking to develop new solutions; typically work with minimal supervision on difficult assignments, conferring with manager on unusual matters.

Typical Education & Experience

5+ years related experience

Bachelor's Degree or higher

Or an equivalent combination of education and experience
Typical Work Duties
  • Conducts all aspects of the end-to-end audit/quality control process to include engagement planning, coordination, and risk identification; may analyze data to develop audit plans
  • Ensures audit procedures and processes are current and in accordance with required University policies and federal and state compliance standards and requirements
  • Uses applicable systems/programs to perform the auditing function Documents audit issues, makes recommendations and procedural comments for distribution of findings to appropriate management. Drafts reports for assigned audits
  • Monitors and follows-up on status of prior audit recommendations to ensure that report recommendations are being implemented on a timely basis.
  • Assesses the level of risk in the unit/work process under audit
  • Identifies and documents internal controls, which includes financial and information technology controls
  • Provides consultation and participates in compliance meetings adhering to standard project processes, milestones, and templates.
  • Provides consultation and participates in project implementation meetings ensuring controls are in place prior to adoption
  • May supervise lower-level and support staff

This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.

Level 4  

Level Details
Job Code Salary Band FLSA Status
ADEA0504 K Exempt

Level 4 positions typically demonstrate advanced knowledge of principles, practices, and procedures of a particular field of specialization and complete complex assignments; integrate complex elements from other specialties into work assignments; demonstrate a strong commitment to inclusionary practices which support diversity throughout the University; establish a shared vision and take responsibility for the achievement of team goals, and provide direction for appropriate implementation of plans; present ideas, concepts and instructions in a clear manner, and use persuasion and negotiation to build consensus and cooperation; demonstrate effective and sustainable use of University resources in conduct of audits and decision-making processes; develop new techniques, concepts, theories, programs or solutions and apply them to complex strategic operating and industry-wide issues; typically work independently on complex work assignments, review progress and evaluate results and update management as appropriate; may direct and delegate work to lower-level staff.

Typical Education & Experience

7+ years related experience

Bachelor's Degree or higher

Or an equivalent combination of education and experience

Certification preferred
Typical Work Duties
  • Examines a variety of moderate to complex financial, programmatic functions and/or systems for accuracy and integrity and conformance to rules and regulations. Audits financial data, systems, programs and processes; recommends changes and/or determines liability and/or penalties
  • Analyzes data and develops individualized audit plans for ad-hoc audits or special projects as requested by senior University officials or as necessitated by external inquiries/assertions
  • Identifies areas for improvement, while seeking agreement on appropriate corrective actions, and monitoring progress to ensure unit is timely in addressing control weaknesses and process inefficiencies. Serves as technical advisor for assigned audit area
  • Uses applicable systems/programs to perform the auditing function. Ensures integrity of information systems, internal controls and data, including recommending modifications as required
  • Develops and produces audit reports and conducts presentations of audit findings to convey information and issues of a moderately- and complex nature to unit management and University senior management. Serves as technical advisor on audit findings and recommendations
  • Recommends and provides input to systems and procedural changes
  • Supervises lower-level and support staff

This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.

Level 5  

Level Details
Job Code Salary Band FLSA Status
ADEA0505 L Exempt

Level 5 positions typically extend mastery of job knowledge to the principles, theories and practices of related specialties; expand knowledge of best practices and incorporate into all work assignments and procedures; evaluate and enhance current practices and efforts to ensure optimal support of diversity; oversee leadership of teams and projects that involve extensive cooperation and coordination between multiple departments across the University or with external customers; prepare written and/or verbal presentations or proposals on highly complex issues and deliver to a broad variety of audiences; identify and implement innovative solutions to important, highly complex strategic and/or operational issues which may involve unusual circumstances and incomplete or conflicting data; demonstrate effective and sustainable use of University resources in conduct of audits and decision-making processes; work independently on highly complex or strategic assignments; may direct and supervise lower-level staff.

Typical Education & Experience

10+ years of related experience

Bachelor's Degree or higher

Or an equivalent combination of education and experience

Certification preferred
Typical Work Duties
  • Supervises and/or conducts advanced and complex, specialized auditing of financial, programmatic functions and/or systems; identifies and documents substantive issues, recommends changes and/or determines liability and/or penalties
  • Uses applicable systems/programs to perform the auditing function
  • Analyzes data and develop individualized audit plans for ad-hoc audits or special projects as requested by senior University officials or as necessitated by external inquires/assertions
  • Provides consultation to various parties to ensure University policies and procedures adequately address risks and provide controls to mitigate risks
  • Evaluates application controls for business systems and IT processes; ensures integrity of information systems, internal controls and data, implement recommended modifications
  • Acts as the principal staff auditor with the investigation into possible fraud, waste, abuse and other various issues that may arise
  • Administers and /or supervises specific University programs following internal and/or outside requirements and guidelines
  • Prepares reports that convey concise and comprehensive information on matters of a complex nature; provides appropriate documentation to support conclusions
  • Serves as a technical resource for unique or emerging issues
  • Implements and coordinates audit system and procedural changes
  • Supervises lower-level and support staff

This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.