PRINCIPAL AUDITOR - University and Institutional Compliance

OCCUPATIONAL SUMMARY

The Office of Audit Risk and Compliance (OARC) is a dynamic risk and controls focused partner for Duke University, Duke University Health System and their affiliated entities (“Duke"). OARC performs operational, financial, compliance, and information technology audits to assess business processes and technology systems for efficiency, effectiveness, and accuracy. OARC also conducts advisory engagements focused on risk assessment, root cause analysis, performance metrics, process design, and technology transformation.

The Principal Auditor supports the mission and objectives of OARC through highly engaged interaction with the Associate Director and Directors, collaboration with team members and independent delivery of high-quality professional services. Valuable professional at tributes include personal initiative, highly developed critical thinking, strong relationship building skills, confident communication style and diplomacy. The successful Principal Auditor is also a visible and engaged member of Duke, building, and developing effective partnerships with key internal and external customers to achieve results.

The Principal Auditor position is an ideal gateway into the complex, challenging, and rewarding environment of a world class university and academic medical center. The broad exposure to the organization provides the Principal Auditor the knowledge and experience to pursue career advancement. The most successful Principal Auditor is one who has capitalized on his/her relationships for long-term success within Duke. This role will dually report to the University Audit Director and the Institutional Compliance Director in executing the audit and compliance assurance plan.

More information about OARC mission, objectives, guiding principles and leadership is found at: https:/ / oarc.duke.edu/.

WORK PERFORMED

• Lead risk-based engagement planning, perform fieldwork, document workpapers and draft engagement reports.
• Conduct assurance and assessment activities to evaluate policies, processes, responsibilities and outcomes that support compliance with applicable statutory, regulatory and other standards.
• Plan and perform independent, objective audit, advisory, and compliance assurance engagements based upon understanding risks, developing scope, and project management against milestones.
• Assist Director of Institutional Compliance Programs in conducting compliance assessment and compliance program initiatives.
• Communicate and collaborate with OARC team members, department leadership, and client representatives.
• Examine and analyze records and conduct client interviews to evaluate internal controls, business process design, risk mitigation strategy, and/or compliance with Duke policy or third-party regulations.

CORE COMPETENCIES                                                                                

Technical and Interpersonal Skills

• Communication, including workpaper documentation and report writing
• Professional Excellence
• Technical knowledge and skills, including data analysis, key control identification, and effectiveness
• Critical Thinking
• Relationship Management
• Project Management

The above statements describe the general nature and level of work performed by individuals assigned to this classification. This is not intended to be an exhaustive list of all responsibilities and duties required of personnel so classified.

DEPARTMENTAL SPECIFICATIONS

Education/Training

Bachelor's degre e in accounting, economics, management information systems or related field; advanced degree desirable.   CPA, CIA, or other relevant professional certification is strongly preferred.

Experience

Successful candidates will possess solid business acumen, well-developed analytical skills, risk and control understanding, strong relationship management abilities and the desire to achieve value-added project outcomes. Position requires at least four years' experience in accounting and financial operations, including responsibility for audit engagement planning, oversight and delivery. Experience in public accounting is preferred.

MINIMUM QUALIFICATIONS

Education

Bachelor's Degree in accounting, or related field. CPA or CIA desired

Experience

Requires three to five years audit accounting experience. Experience in not-for-profit, governmental, or colleges and universities is desired for the University auditors.

Health care experience is desired for Health System auditors.

Public accounting experience preferred.

Degrees, Licensures, Certifications

N/A

Duke is an Affirmative Action/Equal Opportunity Employer committed to providing employment opportunity without regard to an individual's age, color, disability, gender, gender expression, gender identity, genetic information, national origin, race, religion, sex, sexual orientation, or veteran status.

Duke aspires to create a community built on collaboration, innovation, creativity, and belonging. Our collective success depends on the robust exchange of ideas—an exchange that is best when the rich diversity of our perspectives, backgrounds, and experiences flourishes. To achieve this exchange, it is essential that all members of the community feel secure and welcome, that the contributions of all individuals are respected, and that all voices are heard. All members of our community have a responsibility to uphold these values.

Essential Physical Job Functions: Certain jobs at Duke University and Duke University Health System may include essentialjob functions that require specific physical and/or mental abilities. Additional information and provision for requests for reasonable accommodation will be provided by each hiring department.