Careers

Job Summary:

The Senior Compliance Auditor supports University Internal Audit’s goals by performing risk assessments, planning and evaluating the University’s compliance with state and federal regulations and policy and the adequacy and effectiveness of related internal controls and processes that promote compliance.  Assignments will include, but not be limited to, conducting regulatory compliance and operational audits, consulting services and investigations.   

The Senior Compliance Auditor is responsible for performing complex audit assignments and other projects in accordance with policies established by the University Board of Trustees, The Institute of Internal Auditors’ Standards for the Professional Practice of Internal Auditing and Code of Ethics (“Standards”), Internal Audit Policies and Procedures and applicable regulations. 

Essential Functions:

• With Internal Audit Management, determine audit scope, objectives and key regulations and risks.
• Independently plan all aspects of audits, including preparing audit programs, testing and reporting.
• Independently perform audit procedures, including interviews with University personnel, tests compliance with state and federal regulation, related internal controls, policies and procedures.
• Lead audit fieldwork and provide guidance to staff.
• Follow-up on test exceptions to determine validity.
• Analyze audit evidence and evaluate adequacy of regulatory compliance and related controls.
• Organize workpapers to support conclusions.
• Prepare audit observations and recommendations for improvement.
• Communicate scope, objectives, audit observations and conclusions to IA and University Management.
• Draft audit reports and memos.
• Follow-up on management’s action plans.
• Interact and consult with administrators, faculty, and staff, and with external audit firms and agencies and law enforcement as needed.
• Perform consulting and special assignments as assigned by Internal Audit Management.
• Manage time to efficiently work on, meet milestones and complete several assignments simultaneously within budgeted time.
• Keep abreast of institution policies and procedures, current developments in operations, regulations and auditing, as applicable
• Provide guidance to junior staff.
• Efficiently execute research.
• Think critically and exercise professional skepticism, judgment and discretion.
• Effectively learn the business of higher education via on the job training.

Other Functions:

• Perform special assignments and other duties as assigned.

Minimum Qualifications (Knowledge, Skills, Abilities, Education, Experience):

• Bachelor’s degree in accounting, finance, business administration, or related discipline or equivalent.
• Five or more years of internal audit, government agency program audit, public accounting or related experience
• Pursuing CIA, CPA, CCEP or other relevant audit certification
• Possess knowledge of the Standards and ability to apply various audit methods, concepts, and tools
• Ability to understand complex and new regulations, policy and procedures and related control environments
• Has a fundamental understanding of accounting and information technology concepts, practices, and procedures
• Two years or more of experience writing audit reports
• Strong analytical skills and inquisitive
• Ingenuity and persistence to obtain information not readily available with an eye for detail
• Excellent interpersonal and team building skills
• Proficiency in computer software such as Microsoft Office Suite, including Word, Excel, Visio and PowerPoint

Preferred Qualifications (Knowledge, Skills, Abilities, Education, Experience):

• Attained CIA, CPA, CCEP or other relevant audit certification
• Regulatory compliance experience, audit or operations
• MBA or related post graduate degree, e.g., Juris Doctorate
• Experience with electronic audit workpaper technology
• PeopleSoft experience
• ACL, SQL or other data mining experience
• Background in an academic, public institution environment

Working Conditions:

• Typical office environment
• May require occasional in-state travel to all UMass campuses, the Boston central office and other University locations
• May require periodic extended hours, nights and weekends, as necessary

Additional Details:

Salary commensurate with experience up to $95,000.