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Director of Audits (7336)

Category:  Manager/Supervisor/Administrator
Facility:  SEPTA Headquarters
City:  Philadelphia
Date:  Oct 8, 2021
Req ID:  2239

The Southeastern Pennsylvania Transportation Authority (SEPTA) is the sixth largest transportation system in the United States, with a vast network of fixed route services including bus, subway/elevated, trackless trolley, light rail, and commuter rail serving a 2,200 square mile service region.  SEPTA has 10,000 people, including vendors and contractors with a 1.5 billion dollar operating budget.

   

We are currently seeking a Director of Audits (7336) in the Audit & Investigative Services. 

 


 

Opening Date: 10/8/21

Closing Date: 10/29/21

Job Grade: SAM 44

Salary Range: Min: $123,214.00 - Mid: $154,024.00 - Max: $184,834.00 

*Note: Starting salary not to exceed midpoint.

       

OVERALL DESCRIPTION

The Director of Audits, within the Office of Inspector General (OIG), will lead a comprehensive audit program covering SEPTA’s mission in public transportation. They are charged with maintaining awareness of a broad array of industry trends and standards and proactive in considering the impact may have on programs and operations at SEPTA. They will oversee a team of approximately one dozen auditors (IT, internal and contract) to provide independent assurance that financial and business internal controls are properly designed and operating effectively. They will build and maintain relationships with management throughout the Authority to promote a positive culture of sound financial and internal controls.

They will further the general mission of the Office of Inspector General to identify and eliminate fraud, waste and abuse throughout SEPTA. They will closely partner with the Director of Investigations in fulfilling this mission, on trainings, and on specific cases. The Director of Investigations and Inspector General will provide input based on fraud exposure experienced and assist in the preparation of the Annual Audit Plan. On certain audits, consultation with the Director of Investigations may be appropriate before finalizing the audit scope and objectives.

The Director of Audits will report to the Inspector General. 
 

SPECIFIC RESPONSIBILITIES

  1. Coordinates and directs the audit activities of the OIG. Oversees independent and objective assurance and consulting engagements in compliance with the Government Auditing Standards (GAS) (Yellow Book) and Principles and Standards for Office of Inspector General (Green Book). Ensures that all work is conducted in accordance with these prevailing professional standards.
  2. Develops and monitors an annual risk assessment and the annual and long-term audits.  Identify areas worthy of auditing and prepare an Annual Audit Plan.  The annual risk assessment process may include input from executive management, interviews of other stakeholders and department heads (including the Legal Department), consideration of empirical data around fraud and control breakdowns experienced, as well as external research and trends in the transportation industry.
  3. Plans, coordinates and conducts audits as necessary.  Supervises the activities of the audit staff in accordance with the Annual Audit Plan and other audit needs that arise, consistent with professional audit standards. Conducts technical, analytical and final review or work papers to ensure adherence to professional audit standards and objectives. Monitors applicable professional standards, certifications and trainings for the audit staff. Participate in audits as applicable.
  4. Performs the testing of controls to ensure adequate effectiveness of internal controls, accuracy of financial records and efficiency of operations to ensure compliance with regulatory guidelines. 
  5. Provides consultative assistance to departments relative to the design of internal controls and implementation of control based best practices. Provides consulting engagements, also called spot audits, to areas deemed to have heightened risk of fraud.  Possesses a long-term vision of proactive fraud monitoring and detection. 
  6. Partners with the Director of Investigative Services, and investigators, on designated inspections, reviews and evaluations.
  7. Establishes and maintains effective business relationships and builds partnerships with audited areas to ensure mutual understanding of risks, audit scope, procedures and reporting progress. 
  8. Possesses strong knowledge of Government Auditing Standards (GAS) (Yellow Book) and Principles and Standards for Office of Inspector General (Green Book), and possesses the ability to adhere to and apply such standards in report writing, staff qualifications and supervision.  Establishes protocols to ensure that staff adhere to Yellow Book and Green Book standards when conducting audits and issuing reports. 
  9. Assists in the preparation of the OIG Annual Report, timely maintenance of OIG website
  10. Ensures the appropriate staffing to accomplish the goals, motivate a staff with diverse professional skills to perform consistent with high standards and supervise the auditors on each audit. Possesses an understanding of critical IT and accounting systems.

ADDL / DISCIPLINE RESPONSIBILITIES

SPECIFIC RESPONSIBILITIES...(cont'd):

  1. Provides expert support and collaboration to investigative staff, in their investigations and inspection officers.  Partners with investigators on cases, when desirable. 
  2. Ensures that staff attends appropriate trainings and Continue Professional Education (CPEs) to fulfill Yellow Book and/or Green Book requirements. Plans and conducts trainings for auditors. 
  3. Performs special assignments for the Inspector General, as requested. 
  4. Assumes delegation of Inspector General authority, when necessary.
  5. Communicates and briefs executive management on audits, when appropriate. 
  6. Assists in the development of the annual budget for the OIG and activity to maintain performance within the budget. 
  7. Possesses a willingness and desire to work primarily in the office, and telework only on rare occasions. Handles case assignments when desirable.
  8. Performs timely employee reviews, handles routine feedback, and mentors and coaches staff.  Embraces SEPTA code of ethics and values and policies.
  9. Prepares for external peer review of OIG’s functions, procedures and protocols. Complies with all Authority and departmental safety and security policies and procedures as well as all applicable job safety responsibilities. Reports any safety concerns, compromises or hazards affecting operations, the public self and/or other employees. Responsible for personal safety and is encouraged to promote the safety of others.
  10. Complies with all Authority and departmental safety and security policies and procedures as well as all applicable job safety responsibilities. Reports any safety concerns, compromises or hazards affecting operations, the public self and/or other employees. Responsible for personal safety and is encouraged to promote the safety of others.
  11. Performs other duties as assigned.

QUALIFICATIONS AND EXPERIENCE

  • Bachelor’s degree in Accounting, Finance, or related field plus fifteen years of progressively responsible experience which includes at least five to seven (5-7) years audit experience, (preferably internal audit) required.
  • Prior supervisory experience required.
  • Valid driver’s license required.
  • An appreciation to support the mission of public transportation required.
  • Excellent written and verbal communication skills, with demonstrated ability to prepare coherent reports and present those reports required.
  • Ability to interact with all levels of employees, from staff to executives required.
  • Strong computer skills utilizing MS Word, Power Point, and Excel required.
  • Strong knowledge of Government Auditing Standards (GAS) (Yellow Book), principles, policies, practices and terminology and/or Internal Auditing Standards (IIA) (Red Book) required.
  • Understanding of the Internal Audit and COSO framework, testing methodologies and risk assessment principles required.
     

IDEAL QUALIFICATIONS AND EXPERIENCE

  • Experience with government entities, or specifically public transportation preferred.
  • Internal audit or financial audit/attestation with Big Four Accounting firms preferred.
  • Professional certification (e.g., CPA, CIA, CFE, CMA) preferred.
     

SEPTA is committed to creating a diverse environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.             


Nearest Major Market: Philadelphia