Senior Lead Compliance Auditor; Hybrid - Internal Audit

Senior Lead Compliance Auditor

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.

Primary

Duties & 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. 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…