Senior Lead Compliance Auditor (Hybrid) - Internal Audit

Location
ST. LOUIS, MO 63108 Scheduled Hours
37.5

Position Summary
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. Although university administration, faculty, and staff are responsible for various aspects of compliance as part of their roles, the Senior Lead Compliance Auditor plays a significant part in the overall compliance program.

The Senior Lead Compliance Auditor works in the Office of University Compliance and Internal Audit. This position is responsible for evaluating the University’s state of compliance with federal research and other federal regulations, as well as related University policies. Such compliance is crucial to the success and mission of the University. Results of the compliance audits are critical measures for the University.

The Senior Lead Compliance Auditor reports to the Director of Compliance Audit. The Senior Lead Compliance Auditor is expected to function at a very high level in exhibiting self-initiative, leadership, quality, precision, organization, and follow-up, with minimal direction and supervision. Due to the high level of exposure of reports, projects, materials, communications and other information, the Senior Lead Compliance Auditor will be expected to exercise a high degree of discretion, technical abilities, leadership, business judgement, and confidentiality at all times.

Job Description

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.  Key activities include the following:

• 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.
• Obtain Director’s approval of audit program steps before beginning audit work.
• Schedule all meetings and interviews as necessary for conducting the audit with appropriate personnel.
• 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.

Work closely, perform, and assist with the following:

• 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. 
• Assist 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.   
• Assist 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.

Performs other duties as assigned, which may include but not limited to: special projects, fraud investigations, special requests, compliance training, department initiatives, or management consultation or assistance; Prepare activity and status reports or other required administrative reports; assist the Director with Audit Committee (Board) materials or other important management reports and presentations.

Working Conditions:

Job Location/Working Conditions

• Normal office environment

Physical Effort

• Typically sitting at a desk or table
• Repetitive wrist, hand, or finger movement

Equipment

• Office equipment

The above statements are intended to describe the general nature and level of work performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all job duties performed by the personnel so classified. Management reserves the right to revise or amend duties at any time.

Required Qualifications

Education:

Bachelor’s degree or combination of education and/or experience may substitute for minimum education.

Certifications/Professional Licenses:

The list below may include all acceptable certifications, professional licenses and issuers. More than one credential, certification or professional license may be required depending on the role.

Certified Fraud Examiner (CFE) - Association of Certified Fraud Examiners, Certified Internal Auditor (CIA) - The Institute of Internal Auditors (The IIA), Certified Public Accountant (CPA) - American Institute of Certified Public Accountants , Certified Public Accountant (CPA) - Missouri Division of Professional Registration

Work Experience:

Technical Research Administration And Use Of Data Mining And Analysis (2 Years), Supervisory (1 Year)

Skills:

Not Applicable

Driver's License:

A driver's license is not required for this position.

More About This Job

Required Qualifications:

• Bachelor’s degree  or equivalent combination of relevant experience in internal auditing, public accounting, research administration, or monitoring of compliance with federal regulations.  Prior work experience should include 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)
  • Certified Fraud Examiner (CFE)
  • Certified Public Accountant (CPA)

Preferred Qualifications:

• Six (6) or more years of experience in internal auditing, public accounting, research administration, or monitoring of compliance with federal regulations required.
• Two (2) or more years of experience identifying and evaluating controls and compliance matters with federal regulations in a university environment.
• Certified Compliance & Ethics Professional, Certification in Healthcare Privacy, or comparable designations. 
• Proven ability to use a very high degree of discretion, interpretation, self-initiative, leadership, and business judgement in making audit analyses, decisions, and recommendations required.
• Excellent administrative, organizational, communication, documentation, attention to detail, and follow-up skills are required.
• Ability to clearly document audit steps performed and conclusions reached in audit work papers.
• Ability to clearly present and communicate results during meetings and in audits.
• Ability to clearly and concisely present the recommendations in written audit reports.
• Working knowledge of federal Uniform Guidance and University Sponsored Projects Accounting policies, guidelines, and procedures.  
• Ability to rapidly acquire in-depth understanding of the federal OMB circulars, federal regulations, policies, guidelines, procedures, processes and systems.
• Highly technical ability to apply an in-depth understanding of federal regulations and policies, University policies and guidelines, and internal controls to recognize conditions and risks out of compliance.
• Ability to use a high degree of confidentiality, discretion, and business judgement in making compliance audit decisions and recommendations.
• Ability to work harmoniously with others.
• Ability to communicate effectively, both orally and in writing, with all levels of employee positions, including faculty, management, and staff.
• Ability to complete assigned audits, along with audit reports, within budgets established by the Director.
• Ability to understand highly technical regulatory and federal compliance topics and then communicate those items into simple everyday business process activities.     
• Ability to understand technical and federal research issues related to higher education and then translate, summarize, and communicate those as risks to university leadership and board members.
• Ability to learn and use federal and university systems (e.g. ERA Commons, Cognos, Workday, RMS, IDEA) at a level to ensure accurate and timely completion of audits and special projects.
• Ability to provide guidance and leadership with data analytics activities in the Office of University Compliance and Internal Audit to proactively monitor and assess anomalies in compliance related data from university systems. 
• Ability to provide guidance and leadership for team to utilize Artificial Intelligence (AI) and other computer assisted technologies to proactively monitor and curate applicable data.
• Working knowledge (intermediate level or above required) of the following software applications: Microsoft Word, Excel, Access, Power-Point, Teams, Outlook, One-Note.

Preferred Qualifications

Education:

Bachelor's degree

Certifications/Professional Licenses:

Certified Compliance & Ethics Professional (CCEP) - Health Care Compliance Association (HCCA), Certified in Healthcare Privacy and Security (CHPS) - American Health Information Management Association (AHIMA)

Work Experience:

Internal Auditing, Public Accounting, Research Administration, Or Monitoring Of Compliance With Federal Regulations (5 Years), Identifying And Evaluating Controls And Compliance Matters With Federal Regulations In A University Environment (2 Years)

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

Grade
G14

Salary Range
$75,200.00 - $128,800.00 / Annually

The salary range reflects base salaries paid for positions in a given job grade across the University. Individual rates within the range will be determined by factors including one's qualifications and performance, equity with others in the department, market rates for positions within the same grade and department budget.

Questions

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