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Associate Director, Internal Audit

Reporting to the Director, Internal Audit, the Associate Director performs the most complex operational, financial, and compliance audits, analytics, and investigations (i.e. projects) of the University and is directly responsible for designing, scheduling, and reporting quality control reviews of audit, analytics, and investigation projects conducted by the department and will maintain all organizational and professional ethical standards.

Responsibilities

• Coordinate annual audit schedule and related kick-off communications, meetings, and support presentations.
• Prepare annual internal audit risk assessment support packages, manage risk assessment meeting minutes, and perform results mapping to established Internal Audit Universe and Risk Assessment, and to University ERM (Enterprise Risk Management).
• Design a quality assurance schedule and perform quality control reviews and related results reporting and remediation notifications for audit, analytic, and investigation projects conducted by the department.
• Play a strategic role in developing the Internal Audit Continuous Controls Monitoring and Analytics program.
• Plan, design, lead, and or deliver end-to-end projects (financial/operations and integrated technology audits, analytics, investigations, and special projects) in accordance with department or other standards as set forth by the IIA, ISACA, ACFE and other relevant professional bodies and within budgeted timelines.
• Design communications templates for audit, analytic, and investigation projects, including but not limited to announcements, objectives, research activities, work programs/plans; risk assessment/risk control matrices (where applicable), conceptual process flows (where applicable), questionnaires (where applicable), and resource/time budgets.
• Understand and act in alignment with the relationship to the overall Columbia University environment (including industries of Healthcare, Academic Medicine, and Research).
• Oversee and direct the ac­tivities of staff, including reviewing and approving work, writing reports, and coaching/guiding staff on stakeholder interview, walk-through, and testing techniques.
• Lead audit issue presentation and communications with the assigned project team, Internal Audit leadership, and/or stakeholders and prepare related documentation and presentations that adequately explain key decisions, proposed findings, support, and recommendations.
  • Determine, assess and conclude on design effectiveness and operating adequacy of controls in place.
  • Determine, assess and conclude on predications and allegations.
  • Lead cross-functional discussions on existing process and control enhancement opportunities and provide related guidance on risk, control, fraud prevention, and process options.
• Independently interact with SBO, Senior Management, External Auditors and Regulators and, coordinate and collaborate with the offices of Compliance, Security, Legal Counsel, and others where necessary.
• Collaborate with IS Auditors to identify and ensure coverage of touchpoints among projects occurring within other audit teams.
• Manage multiple assignments, multi-task and track and report progress against project plans and budgets to Audit Management.
• Review or prepare distributable quality draft reports for assigned projects (audit, analytics, investigations/internal controls), including proposed findings and recommendations.
• Facilitate/Manage follow-up activities and related reporting for projects, including but not limited to audit issue tracking, analytics monitoring, and investigation closeouts.
• Proactively keep the Director and AVP informed of the progress of projects.
• Other duties and special projects as assigned.

Minimum Qualifications

• Bachelor’s degree in accounting, business, public administration, information systems, or related field;
• At least eight years of experience is required including at least four years from internal/external auditing; experience can be combined in internal auditing and other related practical experience and must include at least two years of supervisory experience.
• Must hold, or obtain within 12 months of hire, Certified Internal Auditor (CIA) designations.

Preferred Qualifications

• CPA, CISA, and CFE
• Proficiency in Microsoft Access, SQL, ACL
• Experience in higher education, health care, or non-for-profit auditing

Other Requirements

• Must have demonstrated knowledge of the International Standards for the Professional Practice of Internal Auditingand the Code of Ethics developed by the Institute of Internal Auditors (IIA).
• Must be able to demonstrate a clear understanding of the terminology, concepts, and practices as well as the regulations, risks, and controls inherent in higher education and healthcare finance, operations, and technology.
• Knowledge of management information systems terminology, concepts, and practices.
• Knowledge of industry program policies, procedures, regulations, and laws.
• High Intermediate/Advanced level proficiency in Microsoft Office (Outlook, Word, Excel, PowerPoint, Visio).
• Proficiency in Thomson Reuters ACCELUS GRC (or similar audit management application).
• Demonstrated ability to prepare reports, memos, summaries, and analyses and to present and negotiate findings and recommendations.
• Must be able to demonstrate excellent interpersonal, written, and oral communication (including active listening) skills and provide excellent attention to detail.
• Demonstrated planning and project management skills.
• Must be able to demonstrate excellent analytical and critical thinking skills and techniques, and to evaluate information and draw logical conclusions.
• Must be able to negotiate issues and resolve problems.
• Must be able to work well with all levels of employees, but especially senior managers, multi-task, be flexible in nature, and use sound judgment with an open and collaborative style that encourages teamwork and cooperation beyond the immediate team to the broader organization.
• Must be a strong role model and coach and have a passion for excellent customer service and commitment to exceptional quality.
• Available for International Travel (10-20%).