Role Description Manager Audit

Transcription

1 Role Description Manager Audit Cluster Finance, Services & Innovation Agency Department of Finance, Services & Innovation Division/Branch/Unit Corporate Services Classification/Grade/Band Clerk Grade 11/12 Role Number ANZSCO Code PCAT Code Date of Approval 01 December 2015 Primary purpose of the role Manage and conduct a range of internal audits, fraud and prevention strategies, special projects, and investigations across the agency on behalf of the Business Unit. Key accountabilities Manage and conduct diverse and complex operational, IT, financial and other compliance audits; fraud and prevention strategies, special projects, and investigations across the agency ensuring compliance with the Audit Charter and the objectives of the Annual Audit Plan Provide timely, high level and specialist advice to the Director Audit on strategic audit and corporate issues across the agency regarding governance and risk Manage a professional assurance report service including the preparation, coordination, collation and distribution of various business papers for quarterly reporting to the Audit and Risk Committee(s) Coordinate the monitoring and reporting of audits including tracking management actions (selfassessment) surveying audit activity stakeholders and dashboard reporting of status and trending of audit findings, management actions, control assessments, areas covered and audit activities Oversee the gathering of business information, identification of auditable areas and their activities, design and apply priority criteria and activities Ensure timely, expert advice and professional support to senior management across the agency relating to the application of better practice in internal audit processes, strategic audit plans and compliance with NSW Treasury Policies Contribute to the development of the Annual Audit Plan and Internal Audit business planning Key challenges Ensuring the application of NSW Treasury Policies on a consistent basis across the agency Proactively maintaining an awareness of innovation and best practice in business audit management and analysing applicability to the agency s operating environment to identify potential improvements 1

2 Understanding the processes and requirements unique to a public sector organisation and the complexity of the DFSI cluster while building and maintaining strong working relationships with a range of stakeholders across the agency Role Description Manager Audit 2

3 Key relationships Who Internal Why Director Audit Provide advice and report on the status of projects Escalate issues and provide solutions Deliver tasks assigned by managers Provide timely, high level and specialist advice on strategic audit and corporate issues regarding governance and risk across the agency Work Team Inspire and motivate team, provide direction and manage performance Guide, support, coach and mentor team members Client/Customer Collaborate to establish agreed terms of reference including scope, time frame, purpose, location, and the scheduling of site visits External Provide timely, expert advice and professional support regarding better practices in internal audit processes, strategic plans and compliance with key policies Stakeholders/Vendors Direct, supervise and monitor performance, allocate resources, manage budgets, to ensure risk objectives are achieved in accordance with relevant policy, procedures, standards and legislative requirements Contractors Both supervise and collaborate with external service providers to deliver the Internal Audit Unit (IAU) work as required. Role dimensions Decision making This role has autonomy and makes decisions that are under their direct control. It refers to the Director decisions that require significant change to program outcomes or timeframes or are likely to escalate or require submission to a higher level of management. This role is fully accountable for the delivery of work assignments on time and to expectations in terms of quality, deliverables and outcomes. This role submits reports, business cases and other forms of written advice with minimal input from the Director. Reporting line Director Audit Direct reports Nil Budget/Expenditure Nil Essential requirements Role Description Manager Audit 3

4 CA or CPA with 5 8 years previous audit experience in Big-4 or experience performing operational audits, compliance reviews and assurance work Capabilities for the role The NSW Public Sector Capability Framework applies to all NSW public sector employees. The Capability Framework is available at Capability summary Below is the full list of capabilities and the level required for this role. The capabilities in bold are the focus capabilities for this role. Refer to the next section for further information about the focus capabilities. NSW Public Sector Capability Framework Capability Group Capability Name Level Display Resilience and Courage Act with Integrity Manage Self Value Diversity Communicate Effectively Commit to Customer Service Work Collaboratively Influence and Negotiate Deliver Results Plan and Prioritise Think and Solve Problems Demonstrate Accountability Finance Technology Procurement and Contract Management Project Management Focus capabilities The focus capabilities for the role are the capabilities in which occupants must demonstrate immediate competence. The behavioural indicators provide examples of the types of behaviours that would be expected at that level and should be reviewed in conjunction with the role s key accountabilities. NSW Public Sector Capability Framework Group and Capability Level Behavioural Indicators Personal Attributes Model the highest standards of ethical behaviour and Role Description Manager Audit 4

5 NSW Public Sector Capability Framework Group and Capability Level Behavioural Indicators Act with Integrity Relationships Work Collaboratively Results Plan and Prioritise Business Enablers Project Management reinforce them in others Represent the organisation in an honest, ethical and professional way and set an example for others to follow Ensure that others have a working understanding of the legislation and policy framework within which they operate Promote a culture of integrity and professionalism within the organisation and in dealings external to government Monitor ethical practices, standards and systems and reinforce their use Act on reported breaches of rules, policies and guidelines Encourage a culture of recognising the value of collaboration Build co-operation and overcome barriers to information sharing and communication across teams/units Share lessons learned across teams/units Identify opportunities to work collaboratively with other teams/units to solve issues and develop better processes and approaches to work Understand the links between the business unit, organisation and the whole-of-government agenda Ensure business plan goals are clear and appropriate including contingency provisions Monitor progress of initiatives and make necessary adjustments Anticipate and assess the impact of changes, such as government policy/economic conditions, to business plans and initiatives, and respond appropriately Consider the implications of a wide range of complex issues, and shift business priorities when necessary Undertake planning to transition the organisation through change initiatives and evaluate progress and outcome to inform future planning Prepare clear project proposals and define scope and goals in measurable terms Establish performance outcomes and measures for key project goals, and define monitoring, reporting and communication requirements Prepare accurate estimates of costs and resources required for more complex projects Communicate the project strategy and its expected benefits to others Monitor the completion of project milestones against goals and initiate amendments where necessary Evaluate progress and identify improvements to inform future projects Role Description Manager Audit 5