Audits & Compliance Manager

Job Description:

Audits & Compliance Manager

Description

S alary and Benefits

PLEASE NOTE: The starting salary placement depends on qualifications and experience and is anticipated to be in the range of $110,000.00 per year to $125,000.00 per year.

Cal State East Bay offers a broad range of benefits that includes medical, dental, vision, retirement (CalPERS), 401k, 457, 403(b), dependent and health care reimbursement accounts, life insurance, vacation and sick, 14 paid holidays, one personal holiday and tuition fee waiver.

For more information on the benefits program, please visit our benefits website. The CSU Total Compensation Calculator demonstrates the significance of our benefits package.

This position may be eligible to participate in the Cal State East Bay hybrid telecommute program subject to management approval.

Classification

Administrator II

About Cal State East Bay

Cal State East Bay's beautiful main campus is located in the Hayward hills with panoramic views of the San Francisco Bay shoreline. Situated above the city of Hayward, the campus offers an ideal setting for teaching and learning and yet easy access to the many cities along the bay. The University has a satellite campus in Concord, a professional development center in Oakland and a significant presence online. Founded in 1957, Cal State East Bay is one of 23 universities of the California State University system (CSU). Cal State East Bay is recognized as a regionally engaged and globally oriented university with a strong commitment to academic innovation, student success, engaged and service learning, diversity, and sustainability.

About the Position

Under general direction of the AVP of Risk Management and Internal Control (RMIC), the Manager of Audits & Compliance will coordinate and support all Chancellor’s Office and external agency audit activities, and is responsible for facilitating regular audits or advisory services of campus operations performed by the Chancellor’s Office of Audit & Advisory Services (AAS), and ensuring that the campus responds to audit observations and recommendation; plan, execute, and administer the internal audit function at Cal State East Bay. This includes conducting reviews of higher-risk organization and functional activities, and recommending appropriate corrective action or changes in current policies, procedures, or processes of the University and its auxiliary organizations. This position will assess whether organizational units in the University are in compliance with CSU policies, applicable federal and state laws and regulations, and statements of policies and procedures, in a manner consistent with both University objectives and high standards of administrative practice and consult and advise management and staff, including serving on campus steering committees as needed for audit and compliance related matters.

Responsibilities

Coordinate and support all activities between Cal State East Bay and Chancellor’s Office of Audit and Advisory Services (AAS) and external agencies.

The AAS auditors perform three to four audits per year on campus. Each AAS audit cycle takes about 4 months for the first three audit phases. Multiple AAS audits run concurrently since the resolution of audit observations usually overlaps the next audit. In addition to audits, the campus VP/CFO occasionally requests that AAS perform internal reviews or advisory service engagements, which follow the same four phases.

Phase 1 - Pre-Audit: Internal Control Questionnaire/Request for Documents (30 days):

• Consult with departments being audited.
• Lead the compilation, development, and submission of requested documents.
• Prepare responses.
• Coordinate audit schedule with AAS and CFO.

Phase 2 - Audit Fieldwork:

• Host AAS auditors on campus or virtually and facilitate their access to University staff and records.
• Coordinate and attend status meetings with staff members from the University and AAS.
• Assist in resolving audit issues and coordinate with campus staff to provide additional documents requested during 5 weeks of audit work on campus.

Phase 3 - Review audit report draft and prepare Campus Management Response:

• Lead review of draft audit reports by relevant staff members.
• Report questions and concerns to AAS.
• Determine if formal exit conferences will be requested.
• Negotiate final audit report language with AAS, as needed.
• Lead the development and submission of campus management responses to all audit observations, and corrective actions for all recommendations.

Phase 4 - Resolution of Audit Observations:

• Determine what will be acceptable to resolve audit recommendations.
• Regularly apprise the Director of RMIC and CFO and other campus leaders of the status of audit recommendations.
• Lead the compilation and development of evidence of implementing recommendations; facilitate the submission of transmittal letters to the CSU Vice Chancellor of AAS on behalf of the CFO.
• Consult, review and/or write business process guidelines (BPG’s), as needed.
• Ensure that correction actions are taken within the established implementation timelines.
• Conduct internal monitoring or follow up reviews, as needed, after the audit is completed.
• Plan, develop, and implement the internal audit function for the University and campus auxiliary organizations that tests and evaluates compliance with federal, state and CSU policies and regulations; determines the effectiveness of operating controls.
• Conduct annual risk assessments across the campus and develop and execute an internal audit plan to review high-risk areas as appropriate.
• Analyze operations, financial and organizational issues, evaluate alternatives and reach sound, logical, fact-based conclusions and recommendations to improve operations.
• Provide assurance that University assets are properly safeguarded and accounted for and effectively used in accordance with established policies and procedures.
• Summarize information, audit observations, and recommendations into written workpapers, and reports, and prepare timely professional reports that are complete, accurate and compelling. Maintain adequate workpapers as evidence of review work performed and preparation of fieldwork reports.
• Provides ongoing consulting to manage University compliance and reduce exposure to lawsuits related to mandatory federal laws (and CSU policies) in the following areas:

Report of any fiscal irregularities {thefts, fraud, etc.) over $5,000 per CSU Executive Order 1104 (formerly EO 813):

• Analyze internal control failures and make recommendations to implement corrective actions.
• Report to CSU, State Auditor, Dept. of Finance, as required.

Assist the AVP of RMIC, who is the University’s designated Whistleblower Administrator pursuant to CSU Executive Orders 1115 and 1116, as well as the California State Whistleblower Protection Act:

• Notice the campus community regarding the Whistleblower Program.
• Implement and maintain procedures for receiving inquiries and complaints.
• Consider allegations and conduct preliminary reviews of complaints.
• Plan and perform comprehensive investigations.
• Report investigation results.
• Develop and follow up on corrective actions arising from investigations.

Americans with Disabilities Act (ADA): Member of the ATI (Assistive Technology Initiative) Steering Committee regarding mandatory accessibility of campus websites, instructional materials and procurement of electronic and IT software.

Business Continuity:

• Collaborate with department and functional stakeholders in the development and maintenance of CSUEB Business Continuity Plan to assure efficient and effective continuation of essential functions of the University during an emergency. Work collaboratively with the Emergency Manager on the testing and improvements of BCPs.

Minimum Qualifications

• Incumbents must possess a B.A. or B.S. from an accredited four-year college or university in Public Administration, Public Policy, Economics, Business Administration, Accounting, or related area, and
• A minimum of three years of related practical audit experience and at least three years of supervising /managing professional staff.

Preferred Skills and Knowledge

• Incumbents must demonstrate the ability to independently perform all phases of internal auditing and possess knowledge of the theories and principles of internal auditing, audit standards, and general administration and management controls. Incumbents must have the analytic skills and be able to deploy techniques in performance auditing, financial analysis and cost-benefit analysis.
• Incumbents should have an understanding of the role of governmental institutions in general and public colleges and universities in particular, and demonstrate the ability to quickly learn processes, rules and operations on campus.
• Incumbents must inspire trust and respect to maintain effective working relationships with staff members of all levels, backgrounds, and work styles, and demonstrate the ability to “achieve results through others” without having organizational authority over others.
• Incumbents must maintain an objective attitude, and establish and maintain credibility among staff members on campus.
• Incumbents must have excellent project management skills in order to consistently lead diverse groups of disparate University staff members toward the achievement of a single goal, and within non negotiable deadlines.
• Incumbents must be proficient in computer applications, particularly spreadsheets and word processing; PowerPoint familiarity is also desirable.
• Incumbents must have effective interpersonal (verbal) communication as well as writing skills.

Condition(s) of Employment

Satisfactory completion of a background check (including LiveScan, as appropriate), that may include, but is not limited to: criminal records check, verification of academic credentials, licenses, certificates, credit history, professional references and/or verification of work history is required for employment. Cal State East Bay will issue a conditional offer of employment to the selected candidate, which may be rescinded if the background check reveals disqualifying information, and/or it is discovered that the candidate knowingly withheld or falsified information. Unsatisfactory results may also affect the continued employment of current Cal State East Bay employees who were conditionally offered the position.

All background checks are conducted through the university's third party vendor, Accurate. LiveScan is conducted through the University Police Department.

EEO Statement

As an Equal Opportunity Employer, Cal State East Bay does not discriminate on the basis of any protected categories: age, ancestry, citizenship, color, disability, gender, immigration status, marital status, national origin, race, religion, sexual orientation, or veteran's status. The University is committed to the principles of diversity in employment and to creating a stimulating learning environment for its diverse student body.

Other Information

All California State University campuses, including Cal State East Bay, are smoke and tobacco-free. For more information, please visit our website here.

In compliance with state and federal crime awareness and campus security legislation, including The Jeanne Clery Disclosure of Campus Security Policy and Crime Statistics Act, the Cal State East Bay Annual Campus Security Report is available here.

At Cal State East Bay, the following nine competencies have been identified as valued leadership qualities: Communication, Cooperation, Delegation, Empathy, Feedback, Innovation, Leadership Presence, Passion and Strategic Ability. While we may not expect our managers to exhibit all of these competencies, we do expect them to aspire to develop them. As part of the annual evaluation review process, the Audits & Compliance Manager will be evaluated on each.

Sponsorship

Cal State East Bay is not a sponsoring agency for Staff or Management positions and we are not an E-Verify employer.

Mandated Reporter

The incumbent in this position may be considered a mandated reporter under the California Child Abuse and Neglect Reporting Act and will be required to comply with requirements set forth in the CSU Executive Order 1083 as a condition of employment.

Advertised: May 21 2024 Pacific Daylight Time
Applications close: Sep 30 2024 Pacific Daylight Time

Closing Date/Time: