Executive Job Description | Job Title: Mgr, Audit Compliance (CFE, Investigations background)
Position Description:
Position Summary: Primary department contact in support of the Company’s
Compliance and Ethics Program administered by the Legal department.
Other responsibilities include compliance audits, monitoring an documentation of departmental compliance with the International Professional Practices Framework (IPPF), and other departmental projects/tasks, as required. This position will have considerable interaction with all management levels, including Officers, from financial and operational departments across the organization.
Essential Duties and Responsibilities: Support of the Compliance and Ethics (C&E) Program. Coordinate with C&E, Security, Human Resources and other departments to lead or support special investigations, including investigations of fraud related matters.
-Manage the execution of compliance audits to identify, report and make recommendations related to compliance, governance, control, risk, efficiency and industry best practices.
-Review individual investigations and overall trends to identify deficiencies and make recommendations on improvements in controls, policies and procedures.
-Oversee monitoring process to ensure recommendations are implemented timely.
-Manage the execution of periodic audits to evaluate the effectiveness of the C&E Program, and issue reports thereon, in support of the program’s COSO/FSG program framework.
-Other Areas Perform and execute a formal annual fraud risk assessment and establish techniques to discover and prevent fraud.
-Establish and maintain a departmental quality assurance and improvement program as set forth by the IPPF.
-Perform and/or oversee other compliance audits as requested (e.g. derivatives, travel and entertainment etc).
-Prepare periodic reports to the Audit Committee and Board of Directors.
-Directly supervise or manage up to five audit professionals and ensure the
department’s goals and objectives are carried out in a well controlled
environment.
-Train and develop employees, plan, assign and direct work, complete performance appraisals, reward and discipline employees, and resolve personnel issues.
-Perform other duties as required. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. Employees will be required to perform any other job-related duties assigned by their supervisor or management.
-
Financial Responsibilities: Responsible for managing 5,000+ hours of Audit and Advisory Services resource time.
-Prepare and/or participate in the development and management of the department’s annual budget.
-Update budget/forecast on a monthly basis and perform monthly variance analysis
to identify reasons for actual vs. forecast differences.
-Ensure expenses incurred by the department stay within budgeted dollars while maximizing use of financial resources to aid in the department and organizations
goals.
Qualifications: Bachelor’s degree from an accredited University in Accounting is
required.
-Master’s of Accounting, MBA or advanced degrees will be considered a plus.
-Minimum of six years of overall relevant experience
including relevant internal audit and/or public accounting (Big 4 public
accounting firm preferred) experience and fraud/ethics investigation.
2+ years in a management / supervisory role with staff supervision
responsibility.
-Strong knowledge of investigation concepts, IPPF, U.S. GAAP, internal control assessment, including COSO, COBIT.
-Experience with global/international operations/organization will be considered a
plus.
-Limited travel expected, however, must be able to travel up to 20%
of the time, (including trips abroad), in certain extenuating circumstances.
-Professional Certifications preferred (CFE, CIA, CPA).
Knowledge and Skills:
-Investigative experience
-Proficient in risk assessment and risk-based auditing
-Able to interact effectively with various levels of management, including executives, and handle multiple priorities/tasks
-Process oriented and able to lead and affect process change and improvements
- Self-motivated, adaptive, proactive, quick learner, and works well with
others with minimum supervision, in a fast paced dynamic environment
- Strong technical, analytic, problem solving and communication skills
(both written and verbal)
-Strong attention to detail, yet maintain a big-picture point of view
-Excellent PC skills with proficiency in Word, Excel, PowerPoint, Visio, etc.
|
