Duties

Supervision and Management of Audits and Financial Services

• Ensuring consistent application of professional standards and Division policies in the performance of assigned audits or other financial services. This will include reviewing audit planning information (e.g. assignment risk assessments, budgets, procedures, etc.) and audit work papers, audit summary documents and audit reports for internal and external distribution.
• Ensuring efficient delivery of assigned audit or financial services. (i.e., completing assignments within budgeted days, monitoring time elapsed between critical dates in the assignment to ensure timely completion).
• Ensuring effective delivery of audit or financial services. That is, the assignment of staff should take into consideration the needs, capabilities and receptiveness of the customer(s) in defining the scope of the activity, developing recommendations and communicating with the customer(s).
• Providing guidance and support to staff conducting audits and financial services.  Guidance and support include communication, research and assistance in problem solving. The guidance and support should facilitate the staff’s judgment in conducting or supervising the audits or other financial service assignment. When managing assignments, the Auditor 3’s responsibility includes resolving any disagreements among staff (i.e., examiner-in-charge and supervisor).
• Providing guidance to staff to develop written communication appropriate for an audit or financial service assignment.  The Auditor 3 will be expected to review and/or edit the letters and reports of some audits or parts of audits. Resulting communications should be consistent with applicable professional standards and Division policies.
• The Auditor 3 is expected to be actively involved in the day-to-day management of the Regional Office. This will require that he or she generally works in the Regional Office.  
• The Auditor 3 will manage complex audit assignments from topic development through report processing. This will frequently require routine on-site visits to monitor work being done by audit staff.
• Assist in making staffing assignments based on technical abilities of staff as well as geographical and other factors.
• Prepare and deliver local official and staff training, as well as coordinate the delivery of such training by other regional staff members.
• Individually or as a member of a team, review policies and procedures applicable to audit services, professional standards and performance measures; develop regional interpretations where necessary to supplement Division policy and procedures; and/or periodically review such interpretations to reduce redundancy and ensure compatibility with Division policy and procedures.  
• Respond to and appropriately document technical assistance inquiries in the Regional Office.

Assist With Division’s Strategic And Work Unit Plans

• Assist the Chief in providing input to the Division’s strategic plan and developing the Region’s annual work plan and uniform risk assessment processes. This includes researching and identifying units with potential risk areas for audits and services.
• Assist the Chief in evaluating the Region’s workload and prioritizing competing priorities in accordance with strategic and work unit plans.
• Identify opportunities for improving the Region’s services.
• Prepare regular unit and performance measurement reports; calculate and analyze measures, and prepare action plans and reports for executive management.
• Manage division projects, as assigned, to develop new audit procedures or other services.

Promote Staff Development

• Provide clear direction, expectations, and feedback to enhance staff development; this will require on-site supervision/management of staff and preparing/discussing written performance evaluations
• Provide guidance and support that facilitates critical thinking and the development of professional judgment
• Help develop the communication, research and problem solving abilities of staff
• Identify appropriate training and professional development opportunities for staff, develop and conduct training at regional meetings and other locations throughout the state.

Demonstrate Leadership

• Serve as a role model for staff through statements and actions; foster behavior consistent with OSC values, encourage and coach staff to carry out division policies and objectives, and create opportunities through empowerment
• Promote team building
• Communicate with staff to create an atmosphere of trust and confidence within the work unit, and to keep staff informed and up to date on division and work unit policies and procedures
• Perform the duties of the Chief, when he/she is absent.        This will require a working knowledge of the current administrative system for time and process management, performance measurement and reporting.
• Act as a representative of the Chief on project teams or forums within the Division.
• Act as a representative of the Comptroller’s office developing and presenting financial topics to local officials

Supervision- The Auditor 3 will supervise Auditor 2s as assigned. 

Additional Comments: The Auditor 3 will work in the Regional Office and travel to audit locations throughout the region to provide support and guidance to field staff.