Principal Auditor

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INITIAL REVIEW DATE (IRD)

Application materials submitted by 11:59 pm on the IRD will be routed to the hiring unit for consideration. Materials submitted after the IRD will ONLY be forwarded at the request of the hiring unit. To ensure your application is routed for consideration, submit your materials before 11:59 p.m. on the IRD. Application materials cannot be accepted outside of the jobs portal. Applications cannot be edited on an applicant's behalf. For more information about the IRD and the applicant review process, view this link.

The IRD for this job is: 11-08-2024

ABOUT UC SANTA CRUZ

UC Santa Cruz is a public university like no other in California, combining the experience of a small, liberal arts college with the depth and rigor of a major research university. It's known as an unconventional place where innovation and experimentation is part of the campus's DNA. That playful, bold spirit still thrives today, all on a campus renowned as among the most beautiful in the world.

DEPARTMENT OVERVIEW

Audit & Advisory Services is a dynamic function focused on strategic planning and risk assessment; operational, financial, compliance, and information technology audits; process and control environment consultation; and proactive engagement in discussing emerging issues with institutional leadership. The scope of audit work encompasses all areas, departments, functions, and organizations university-wide. We are held accountable by the Board of Regents, the Office of the President, the Chancellor, and senior leaders for delivering expert, professional audit, advisory, and investigation services effectively and efficiently.

More information can be found at: https://https://audit.ucsc.edu/

JOB SUMMARY

Under the general direction of the Audit Director, the Principal Auditors are responsible for performing audits, advisory services, and investigations that conform to professional standards. Principal Auditors will generally work in ambiguous situations where they must establish criteria, define work protocols, and structure assignments for themselves and other staff. They will be actively involved in making decisions regarding the scope of work performed, the depth and breadth of audit testing needed, and reporting results. Having wide-ranging experience, they will use audit concepts to resolve the most complex issues with limited precedence that have a departmental or university-wide impact. Principal Auditors are expected to fulfill their responsibilities with limited supervision while maintaining effective communications with the Audit Director.

APPOINTMENT INFORMATION

Budgeted Salary: $124,000 - $144,000. Salary commensurate with skills, qualifications and experience.
Under California law, the University of California, Santa Cruz is required to post a reasonable estimate of the compensation for this role. The salary shown above is the budgeted amount the University reasonably expects to pay and the salary extended should not exceed this posted amount.

Benefits Level Eligibility: Full benefits

Schedule Information:

• Full-time, Fixed
• Percentage of Time: 100%, 40 Hours per Week
• Days of the Week: Mon-Fri
• Shift Includes: Day

Employee Classification: Career appointment

Job End Date: None

Work Location: UCSC Scotts Valley Campus

Union Representation: Non-Represented

Job Code Classification: AUDIT PROFL 5 (005972)

Travel: Never or Rarely

JOB DUTIES

15% - Project Execution

• Executes and leads internal audit, advisory, and investigation projects in accordance with professional and departmental standards.
• Promotes team productivity and completing audit projects within established budgets and deadlines. Handles multiple assignments simultaneously.
• May supervise other professional staff or student interns when designated as project lead.

20% - Planning

• Performs risk assessments to ensure effective audit coverage on each assignment and designs audit programs to accomplish review objectives.
• Understands risks that affect university activities and demonstrate the ability to identify and appropriately measure those risks.
• Prioritizes work so resources are devoted to areas of highest risk.

20% - Testing

• Develops and conducts tests based on approved audit programs to identify internal control weaknesses and audit issues.
• Applies audit principles, skills, and techniques in reviewing and testing internal controls of varying complexity in a wide variety of settings throughout the university, appropriately assessing the exposures resulting from ineffective or missing control practices.
• Interprets and evaluates compliance with applicable federal and state laws and university policies.
• Performs the most complex and advanced analysis techniques in completing audit, advisory, and investigation assignments.

10% - Documentation and Evidence

• Consistently documents relevant facts and information to support the work performed and draw conclusions so the reviewer can follow the auditor's logic and methodology.
• Effectively evaluates audit results, weighing relevancy, accuracy, and perspective on conclusions against the accumulated audit evidence.

10% - Communication and Follow-up

• Keeps clients and Audit Director up-to-date on project progress and issues identified.
• Develops formal written reports to communicate audit results and formulate appropriate, practical, and cost-effective recommendations that are persuasive, placed in the appropriate context, and understood by the recipient.
• Presents results to senior leadership, as appropriate.
• Follows up on management corrective action plans to ensure completion.

10% - Risk Assessment

• Participates in university-wide risk assessments, contributing to the development of the annual audit plan.

10% - Quality Assurance and Improvement Program

• Participates in the department's quality assurance and improvement program (QAIP) as requested, exhibiting creativity and innovation in recommending departmental audit practices and process improvements, which contribute to the efficiency and effectiveness of the department and the achievement of its goals and objectives.

5% - Relationship Building

• Develops and maintains relationships to effectively and efficiently complete projects and is recognized as a change agent to address university-wide risks proactively.

REQUIRED QUALIFICATIONS

• Bachelor's degree in accounting, business, or related area and / or equivalent experience / training.
• Expert knowledge of the audit profession, theories and systems of internal control, and professional auditing standards to apply sound audit principles in completing more complex and technical assignments.
• Excellent project management skills with the ability to multi-task and prioritize responsibilities.
• Excellent interpersonal and communication skills to work independently with all levels of university personnel, including leadership and faculty, and facilitate agreement on issues and corrective actions.
• Demonstrated ability to work collaboratively with diverse individuals and groups.
• Ability to utilize discretion when working with confidential information.

PREFERRED QUALIFICATIONS

• Master's degree in accounting, business, or related area.
• Higher Education audit experience.
• CIA, CFE, CISA, CPA, or other relevant certifications.
• Expertise in one or more of the following areas: grants and contracts, research, compliance, construction, IS, IT system implementations, or fraud.
• Knowledge of Clery Act, Title IX, HIPPA, FERPA, PCI, and other related regulations.
• Expertise in data analysis and/or artificial intelligence.
• Expert knowledge of finance, accounting, business, and systems operations.
  

SPECIAL CONDITIONS OF EMPLOYMENT

• Selected candidate will be required to pass a pre-employment criminal history background check.
• Ability to work long periods of time at a computer with or without accommodation.
• The selected candidate has the option to work a hybrid work schedule. If a hybrid work schedule is confirmed, the selected candidate must be able to work successfully from a home/remote office and be able to fulfill the requirements of the UCSC telecommuting agreement.
• Ability to work occasional evenings and weekends as directed.
• Selected candidate will be required to complete training within established time frames as directed including UC compliance training.
• Ability to travel to multiple work locations on and off campus.
• Ability to travel nationally.
• Ability to maintain appearance and conduct suitable for working in a professional setting.
• The University of California has implemented a Vaccination Policy covering all employees. Employees, including new hires, are required to comply with any applicable policies relating to the University of California vaccine program.

SAFETY STATEMENT

All UCSC employees must understand and follow job safety procedures, attend required health and safety training, proactively promote safety at work, and promptly report actual and potential accidents and injuries.

NOTICE OF AVAILABILITY

EEO/AA

The University of California is an Equal Employment Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, age, or protected veteran status. UC Santa Cruz is committed to excellence through diversity and strives to establish a climate that welcomes, celebrates, and promotes respect for the contributions of all students and employees.

For the University of California's Affirmative Action Policy please visit: https://policy.ucop.edu/doc/4010393/PPSM-20

For the University of California's Anti-Discrimination Policy, please visit: https://policy.ucop.edu/doc/1001004/Anti-Discrimination