Senior Lead Compliance Auditor (Hybrid) - Internal Audit

About the role

The purpose of the Washington University Compliance Program is to minimize instances of noncompliance with external laws and regulations, as well as related internal policies and procedures. The Senior Lead Compliance Auditor works in the Office of University Compliance and Internal Audit, responsible for evaluating the University’s state of compliance with federal research and other federal regulations, as well as related University policies.

Responsibilities

• Perform Research Compliance and Compliance-related Investigative Audits Throughout the University, Within the Time Budgets Allowed, and As Assigned by the Director of Compliance Audit.
  • Assess risks and internal controls to determine scope and objectives of compliance audits.
  • Provide guidance and leadership for team to utilize Artificial Intelligence (AI) and other data analytics tools to proactively identify anomalies with auditees.
  • Develop audit program testing steps based on pertinent and significant risk items.
  • Perform audit steps within the allowed time budgets by utilizing the standard compliance audit programs as a guide.
  • Schedule all meetings and interviews as necessary for conducting the audit with appropriate personnel.
  • Obtain Director’s approval of audit program steps before beginning audit work.
  • Perform audit tests, evaluating compliance with federal regulations, University policies, and procedures.
  • Interview key personnel, including principle investigators and staff, as required.
  • Develop clear and concise audit working papers.
  • Discuss audit reports with appropriate management personnel and principal investigators as required.
  • Write clear, convincing, and concise audit reports which included audit recommendations for review by the Director and subsequent presentation to auditee management and others as determined by the Director of Compliance Audit.
• Mentor, train, and supervise other university compliance team members on internally performed projects and compliance audits.
• Provide subject matter and highly technical expertise in the areas of research compliance, HIPAA, and other highly visible federally sponsored programs.
• Serve as a liaison to translate highly technical federal research related topics into university risks, audit testing steps, and education topics.
• Develop, generate, and maintain queries and reports in university systems that are used to perform various compliance audit testing and risk assessment areas.
• Review other team member audit testing results and working papers.
• Update, maintain, and recommend improvements in the department's business processes, internal procedures, compliance testing, and quality assurance areas.
• Aid with the administration, referral, and follow up on hotline reports and annual Code of Conduct certification items.
• Work closely with Chief Risk Officer on ERM compliance controls, risks, and other topics to develop a compliance controls repository, and integrate into the annual risk assessment.
• Aid with oversight and summarization of information from other university reporting and compliance portals.
• Create and update database of audits performed at other higher education institutions by federal auditors to identify potential risk exposures for the university.
• Work closely with external consultants on internal system implementations or internal process enhancements of department activities and processes.
• Update internal monthly metric reports and summarize results for Audit Committee (Board) reports.
• Update and maintain the annual risk assessment process and assist in the development of the 3-year risk-based audit plan.
• Review management responses to audit reports and initiate follow-up action to ensure all recommendations have been appropriately addressed by management.
• Perform follow-up and monitoring of prior audit findings, recommendations, and management actions plans to ensure they have been implemented and completed.
• Prepare periodic reports, spreadsheets, presentations, and analyses under the direction of the Director.
• As needed, summarize and present the information to the Executive Director of Compliance and Audit, Area-Specific Compliance Officers, Department Heads, General Counsel, the Audit Committee Board members, or others as determined by the Director.

Requirements

• Technical Research Administration and Use of Data Mining and Analysis (2 years)
• Supervisory (1 year)

Qualifications

• Bachelor’s degree or combination of education and/or experience may substitute for minimum education.
• At least one (1) year of previous supervisory experience and at least two (2) years’ experience involving technical research administration and use of data mining and analysis.
• At least one (1) professional certification required or required to be obtained within 18 months from hire date.
• Certified Internal Auditor (CIA) - The Institute of Internal Auditors (The IIA)
• Certified Fraud Examiner (CFE) - Association of Certified Fraud Examiners
• Certified Public Accountant (CPA) - American Institute of Certified Public Accountants
• Certified Public Accountant (CPA) - Missouri Division of Professional Registration

Skills

• Accounting Policies
• Administrative Organization
• Audit Documentation
• Code of Federal Regulations
• Communication
• Confidentiality
• Detail-Oriented
• Human Resource Management System
• IBM Cognos Software
• Leadership
• Legal Regulatory Compliance
• Microsoft Office
• OMB Circular A-133
• Policy Compliance
• Policy Enforcement
• Sound Judgment
• Workday Software
• Working Independently

Benefits

Not specified

Pay

$75,200.00 - $128,800.00 / Annually

Schedule

Normal office environment