Senior Lead Compliance Auditor (Hybrid) - Internal Audit

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 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 principal 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 include 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. 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. Perform 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 Required Qualifications Education: Bachelor’s degree or combination of education and/or experience may substitute for minimum education. Certifications/Professional Licenses: 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. Preferred Qualifications Experience: Six (6) or more years of experience in internal auditing, public accounting, research administration, or monitoring of compliance with federal regulations required. Experience: Two (2) or more years of experience identifying and evaluating controls and compliance matters with federal regulations in a university environment. Certifications: Certified Compliance & Ethics Professional, Certification in Healthcare Privacy, or comparable designations. Abilities: 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. Abilities: Excellent administrative, organizational, communication, documentation, attention to detail, and follow‑up skills. Abilities: Ability to clearly document audit steps performed and conclusions reached in audit work papers. Abilities: Ability to clearly present and communicate results during meetings and in audits. Abilities: Ability to clearly and concisely present the recommendations in written audit reports. Abilities: Working knowledge of federal Uniform Guidance and University Sponsored Projects Accounting policies, guidelines, and procedures. Abilities: Ability to rapidly acquire in‑depth understanding of federal OMB circulars, federal regulations, policies, guidelines, procedures, processes and systems. Abilities: 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. Abilities: Ability to use a high degree of confidentiality, discretion, and business judgement in making compliance audit decisions and recommendations. Abilities: Ability to work harmoniously with others. Abilities: Ability to communicate effectively, both orally and in writing, with all levels of employee positions, including faculty, management, and staff. Abilities: Ability to complete assigned audits, along with audit reports, within budgets established by the Director. Abilities: Ability to understand highly technical regulatory and federal compliance topics and then communicate those items into simple everyday business process activities. Abilities: 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. Abilities: 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. Abilities: 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. Abilities: 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. Technical Knowledge: Working knowledge (intermediate level or above required) of the following software applications: Microsoft Word, Excel, Access, Power‑Point, Teams, Outlook, One‑Note. Grade G14 Salary Range $75,200.00 - $128,800.00 / Annually Benefits Statement Personal: Up to 22 days of vacation, 10 recognized holidays, and sick time. Personal: Competitive health insurance packages with priority appointments and lower copays/coinsurance. Personal: Take advantage of our free Metro transit U-Pass for eligible employees. Personal: WashU provides eligible employees with a defined contribution (403(b)) Retirement Savings Plan, which combines employee contributions and university contributions starting at 7%. Wellness: Wellness challenges, annual health screenings, mental health resources, mindfulness programs and courses, employee assistance program (EAP), financial resources, access to dietitians, and more! Family: We offer 4 weeks of caregiver leave to bond with your new child. Family care resources are also available for your continued childcare needs. Need adult care? We’ve got you covered. Family: WashU covers the cost of tuition for you and your family, including dependent undergraduate‑level college tuition up to 100% at WashU and 40% elsewhere after seven years with us. For policies, detailed benefits, and eligibility, please visit EEO Statement Washington University in St. Louis is committed to the principles and practices of equal employment opportunity. It is the University’s policy to provide equal opportunity and access to persons in all job titles without regard to race, ethnicity, color, national origin, citizenship (where prohibited by federal law), age, religion, sex, sexual orientation, gender identity or expression, disability, protected veteran status, or genetic information. #J-18808-Ljbffr ISACA