Job Description. Lead Auditor

Transcription

1 Job Description Job Title: Lead Auditor Date: May 2016 Responsible to: Location: Position status: Direct reports: Delegated Financial Authority: (If applicable) Director Audit and Assurance Wellington Fixed Term Nil Nil Background Central Region Technical Advisory Services (TAS) successfully partners with the health sector to provide a range of both national and regional services and expertise. This includes strategic advice, planning and support, as well as the coordination and management of collaborative programmes and projects that support District Health Boards (DHBs) to achieve their health care targets, and improve the services they provide. Providing value to our customers and stakeholders professionals in the New Zealand health sector is at the centre of why we exist and why we do what we do. Our work is primarily driven by our passion to see patients health outcomes, and their experience of the public health system optimised. We currently comprise four core service lines of business (Planning and Collaboration Services, Workforce Services, Audit and Assurance Services, Health Informatics) as well as managing key programmes of work on behalf of DHB s, including the Health of Older People and Community Pharmacy Programmes. The service lines and programmes are underpinned by the Business Support Services team who provide internal capability and support to our external facing service delivery teams. TAS is committed to building a values based high achievement culture and practices across all our business relationships and activities. Business Group Audit and Assurance (A&A) is a business unit within Central TAS that provides audit and assurance services across a broad spectrum of areas such as business management, governance, financial management, information systems and privacy management. Audit services include providing independent appraisal of service provider organisations against contractual compliance and best 1

2 practices in areas of governance, business management, financial systems, service delivery and service quality. Job Purpose The Lead Auditor is accountable for the delivery of planned, routine and adhoc (issue based) regional and national audit projects/programmes on behalf of DHBs, ensuring outputs are achieved, adhering to the scope, budget and agreed timeframes. This includes coordinating the management of other audit resources. Responsibilities also include providing adhoc support across allocated and related project work outside A&A annual work programme. Key Accountabilities Accountability Area Description Planning and delivery of audit services Leadership and resource management Assist with the development of an annual audit work programme. Lead the planning and preparation of required audit documentation, including terms of reference, resources, cost and work break down structure. Lead the delivery of routine and planned audit projects including ad hoc 'special/issue based' audits against agreed objectives, scope and deliverables in line with agreed TAS project and A&A methodology. Lead the analysis of problems, identifies core issues, investigates and evaluates risks and integrates the information in the preparation of audit report/s for peer review. Make recommendations for improvements in service management and service quality or to enhance service provider performance and compliance with national guidelines, service standards or recognised good practice. Produce detailed quality audit reports for peer review and management sign off. Peer review audit reports produced by the A&A team; identifying appropriate corrective actions, if required. Prepare and present reports and status reports as required to the Director Audit and Assurance and stakeholders. Identify, manage and escalate issues to the Director Audit and Assurance in a timely manner to ensure effective resolution and to minimise any impact to the project, customer or TAS. Work collaboratively across the wider team, by contributing to other audits and service reviews as required. Coaching and supervising Auditors in relation to all matters relevant to undertaking audits to ensure policy and processes are adhered to. Assist with sourcing and engaging contract audit specialist 2

3 skills needed to deliver the required outputs. Manage the audit project team including contractors to ensure they have a clear understanding of roles responsibilities and accountabilities. Relationship management Establish and maintain effective working relationships with key employees in TAS. Facilitate constructive quality dialogue to mitigate team conflict and communication problems. Establish and maintain productive relationships to ensure you understand the stakeholder environment and requirements, ensuring a high customer satisfaction. Business improvement Work collaboratively with customers to understand business need and identify opportunities for new or improved audit services and/or revenue streams. General Work collaboratively with customers to understand business need and identify opportunities for new or improved audit processes and services. Key Relationships Undertake other reasonable duties as required relating to the functions and responsibilities of the A&A team and TAS. Participate in the development and continuing improvement of TAS's business performance and reputation, and provide positive contribution to the functioning of your team and wider organisation. Take responsibility for meeting TAS's obligations in workplace health and safety by making sure your own actions keep self and others safe. All employees have a responsibility for managing relationships in some or all of the key sectors we interface with. In this role, key relationships are expected to be developed, as follows: Internal Who For what purpose 3

4 Audit and Assurance team Work constructively and in partnership to develop and deliver solutions. Proactively support the deployment of audit projects / programmes. Provide knowledge from the business/sector regarding issues and challenges. TAS managers and employees Collaborative working to provide integrated, joined-up advice and support to customers and stakeholders. Work collaboratively with senior leaders to keep abreast of TAS business initiatives across the organisation to understand and support future business opportunities. External Who DHBs: relevant Contract, Portfolio and General Managers and related administrative personnel, relevant Boards and audit committees Contracted service providers For what purpose Work collaboratively to establish productive and positive relationships. Manage relationships in a manner the represents TAS values and commitment to excellence. Consult and/or inform on requirements, approach and audit project/programme activities and deliver the outcomes required. NGOs/PHOs and other health agencies/ key stakeholders Audit and quality agencies and contractors Build and maintain a network of external auditors to assist with audit projects as required to deliver the required outputs. Person Specifications Essential Education/qualifications Relevant tertiary qualification(s) in audit or risk management and / or equivalent experience Essential skills, experience and qualities Comprehensive knowledge and experience of core audit principles and standards and use of auditing tools and software Experience and ability to work with clients/stakeholders on business process improvement with a particular focus on enhancing internal controls and the control environment Sound analytical skills with experience and ability to review the effectiveness of systems for reporting on risk, internal controls, and legislative compliance Experience in delivering projects i.e. demonstrated knowledge of the principles, methods and techniques necessary for the effective management of projects from initiation through to 4

5 implementation Experience in leading teams, including demonstrated ability to motivate and coach staff Experience and ability to manage third party suppliers through a contractual partnering or contract Proven ability to prioritise work and follow through on tasks to their successful completion Excellent interpersonal skills with the ability to foster good stakeholder relationships through consultation and partnership Excellent written and oral communication skills, particularly the ability to communicate clearly, concisely and in plan language Proven ability to work effectively under pressure Ability to exercise and maintain objectivity, professional judgement and discretion Experience in the health sector and or knowledge of public sector compliance and performance reporting requirements Computer literate in Microsoft Office suite products, particularly MS Project and project/programme/portfolio management tools (non-specific) Core TAS Competencies Competency Descriptor Customer Focus: Provides excellent service to meet internal and external customer/client needs. Understands the needs of the customer/client and looks for ways to provide added value. Communication: Demonstrates an understanding of the views of others and communicates in a genuine and practical manner using appropriate language. Actively listens to views and concerns of others. Adapts communication approach to fit situation. Conveys and receives information effectively and builds positive working relationships. Collaboration: Willingness and ability to work in a cooperative and helpful manner with others Expected Behaviours Recognises the importance of valuing customers and provides excellent service to meet internal and external customer/stakeholder needs. Listens and proactively seeks to understand the expectations and needs of the customers/stakeholder. Looks for ways to provide added value. Proactively seeks customer/client feedback. Actively listens and observes non verbal queues to inform communication approach Self aware and approachable Works effectively as part of a diverse team. Treats others with respect and dignity Supports others in the team and has consideration for their 5

6 (as opposed to independently). Focuses on team goals as well your own and to actively assist team members to achieve common goals. Shares collective responsibility for all aspects of the teams objectives. Continuous Improvement: Sets and meets challenging goals, creating own measures and consistently seek ways of improving performance. Aware of own shortcomings and opportunities for improvement and takes charge of personal development. Innovation: Identifies novel approaches for completing work more effectively or efficiently, and works within the "established" system to push for "a smarter, better way." Action Orientation: Performs work with energy and drive; values planning, but is able to take quick, decisive action when an opportunity presents itself. Planning and Organising: Organises own time effectively, creates own work plan/s and timelines. Prioritises and prepares in advance to ensure realistic timeframes. Visualises the sequence of actions needed to achieve a specific goal, how to estimate the resources required and identify potential risks and needs and skills. Identifies and promotes opportunities for collaboration and works with others regardless of functional boundaries. Makes suggestions for improvements to current ways of working. Shows a willingness to learn. Looks to improve efficiency and quality of service of own role/area Keeps own skills up-to-date and develops a depth or breadth of knowledge in a particular area through learning. Works to develop new approaches when problem-solving; seeks ideas or suggestions from others as appropriate Suggests new ways to improve the quality of products or services. Identifies new ideas, solutions, or directions in dealing with daily situations. Targets and achieves results, overcomes obstacles, accepts responsibility, Establishes standards and responsibilities, supports a resultsoriented environment, and follows through on actions. Provides work on time and to required standard. Plans a wide range of simple tasks or a small number of complex ones. Workload delivered within deadlines and to agreed standards. 6

7 mitigations. Agility and Flexibility: Adapts and works effectively in different situations and able to carry out a range of tasks, remaining calm and level headed under pressure. Remains positive and puts challenges in perspective. Reliable and flexible in response to work priorities, issues and pressures. Receptive and contributes to new ideas and approaches and adapts accordingly. Handles conflicting priorities and deals with the unexpected. Changes to Job Description From time to time it may be necessary to consider changes in the job description in response to the changing needs of the organisation and nature of our work environment including changes to our annual plan. Such change may be initiated as necessary by the manager of this position and any changes will be discussed with the position holder before being made. This Job Description may be reviewed as part of the preparation for performance planning for the annual performance review cycle. Agreed: Manager Employee Date Date 7