Associate Director, Internal Audit and Agency Compliance

• Job Type: Officer of Administration
• Bargaining Unit:
• Regular/Temporary: Regular
• End Date if Temporary:
• Hours Per Week: 35
• Standard Work Schedule:
• Building: Studebaker
• Salary Range: $128,000 - $139,000

The salary of the finalist selected for this role will be set based on a variety of factors, including but not limited to departmental budgets, qualifications, experience, education, licenses, specialty, and training. The above hiring range represents the University's good faith and reasonable estimate of the range of possible compensation at the time of posting.

Position Summary

Reporting jointly to the Director, Internal Audit, and the Assistant Controller of Audits and Financial Compliance, the Associate Director, Internal Audit and Agency Compliance, performs and facilitates complex operational, financial, and sponsored research agency compliance audits, analytics, and investigations (i.e., projects) for the University.

The Associate Director is responsible for designing and executing efficient and effective projects from their inception to final disposition in accordance with organizational and professional standards. This includes coordinating and facilitating the efficient and effective management of internal audits and agency audits, including strategizing, planning, and designing workplans, communicating with stakeholders, guiding and collecting documentation, removing barriers and resolving problems, and reviewing/validating reports and project close-out. The Associate Director is also charged with recommending policy and process changes designed to strengthen controls and compliance with regulations, including those that govern sponsored projects.

Responsibilities

• Maintain a master project schedule with references for source (internal audit plan, sponsored project agency, etc.), key stakeholders, description and objectives/scope, deadlines, and workpapers.
• Plan, design, lead, and or deliver within budgeted timelines, end-to-end projects in accordance with department or other standards as set forth by the IIA, ISACA, ACFE, and other relevant professional and regulatory bodies.
• Independently and proactively lead cross-functional discussions and interactions with Senior Management, Business Officers, Faculty, Investigators, External Auditors, and Regulators; Compliance Office, General Counsel, and others.
• Coordinate communications, meetings, and support presentations to/from internal and external stakeholders in alignment with departmental standards for announcements, work programs/plans; information requests, risk assessment/risk control matrices (where applicable), conceptual process flows (where applicable), questionnaires (where applicable), resource/time budgets and reports.
• Proactively align resources and explore pathways to ensure accuracy and completeness of agency auditor exceptions, conclusions, and recommendations.
• Collaborate with other audit and compliance teams to identify and ensure coverage of touchpoints among projects.
• Play a strategic role in developing electronic document repositories, analytics, guidance/training, and continuous controls monitoring to promote effective and efficient reviews and oversight.
• Update the Audit and RPIC websites and ensure content accuracy, including policy manuals and the Sponsored Projects Handbook.
• Oversee and direct the activities of staff, including reviewing and approving work, writing reports, and coaching/guiding staff on stakeholder interviews, walk-throughs, and testing techniques.
• Prepare annual internal audit risk assessment support packages, manage risk assessment meeting minutes, and perform results mapping to the established Internal Audit Universe and Risk Assessment, and to the University ERM (Enterprise Risk Management).
• Understand and act in alignment with the relationship to the overall Columbia University environment (including industries of Healthcare, Academic Medicine, and Research).
• Determine, assess, and conclude on design effectiveness, operating adequacy of controls in place, supporting documentation, and predications and allegations.
• Manage multiple assignments, multitask, and track and report progress against project plans and budgets to Audit Management.
• Review or prepare distributable quality draft reports for assigned projects, including proposed findings and recommendations.
• Facilitate/Manage follow-up activities and related reporting for projects, including but not limited to issue tracking, analytics monitoring, and closeouts.
• Proactively keep the Director and Assistant Controller 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 seven years of experience is required, including at least four years from internal/external auditing or compliance program management.

Preferred Qualifications

• CPA, CISA, CFE.
• Graduate Degree.
• Proficiency in Microsoft Access, SQL, ACL/Data Mining Software.
• Experience in Higher Education, Health Care, and/or Not-for-profit.

Other Requirements

• Certification Requirement - The incumbent must either hold the Certified Internal Auditor (CIA) designation or obtain it within 12 months of their hire date. Successful completion of the CIA certification within the specified timeframe is a condition of continued employment in this position. The University will provide initial support (including financial assistance and study resources, as applicable) to help the incumbent meet these certification requirements. If the CIA designation has not yet been attained at the time of hire, the following milestones must be met by the incumbent for continued employment in an Internal Audit role:

• Part 1 of the CIA exam must be successfully completed within 4 months of the hire date.

• Part 2 must be successfully completed within 8 months of the hire date.

• Part 3 must be successfully completed no later than the 12-month anniversary of the hire date.

• Two years of supervisory experience.

• Knowledge of federal, state, and nonprofit sponsor policies, including Uniform Guidance, and experience with audits from key federal sponsors (NIH, NSF, DOD, DOE).
• Knowledge of the International Standards for the Professional Practice of Internal Auditing and the Code of Ethics developed by the Institute of Internal Auditors (IIA).
• Ability to demonstrate a clear understanding of the terminology, concepts, program policies, practices, regulations, and laws, as well as the risks and controls inherent in higher education, healthcare, and research-related finance, operations, and technology.
• Strong analytical and critical thinking skills and techniques to collect and analyze data, evaluate information, interpret regulations and assess risk, and draw logical conclusions.

Equal Opportunity Employer / Disability / Veteran

Columbia University is committed to the hiring of qualified local residents.