Strategic Compliance Internal Auditor

Strategic Compliance Internal Auditor Dayton, OH Job Details 1 day ago Qualifications Master's degree in accounting COSO Master's degree in business administration Internal controls Data visualization software proficiency CPA Non-profit experience Certified Compliance & Ethics Professional Audit report preparation Audit engagement planning Bachelor's degree in finance Compliance audits & assessments HIPAA Corrective and preventive actions (CAPA) Family Educational Rights and Privacy Act (FERPA) Research Tax compliance Risk mitigation strategy implementation Bachelor's degree in business administration Finance Regulatory legal research Bachelor's degree Master of Science Accounting Master's degree in finance Audit risk assessments Business Administration IRB compliance 1 year Root cause analysis Bachelor's degree in accounting Data analytics tools Senior level Business Master of Business Administration Accounting Communication skills Certified Internal Auditor Financial compliance Full Job Description The Strategic Compliance Internal Auditor is a highly critical and proactive professional responsible for providing independent, risk-based assurance and advisory services to the University. This role focuses on evaluating the effectiveness of the University's governance, risk management, and internal control processes. The Auditor's primary function is to identify high-impact compliance risks and recommend mitigation before the risks materialize or to work with management to ensure mitigation of any known issues; thereby ensuring the University operates at the highest ethical and regulatory standards to provide the best, most compliant environment for the students, faculty, and staff while protecting the University's assets, reputation, and commitment, including meeting all Ohio and Federal mandates. The position operates in an environment where maintaining the highest ethical standards and confidentiality is necessary. Operating without a right or wrong answer, the incumbent will need to maintain their strong ethical judgement while balancing University needs. The ability to maintain objectivity and professional skepticism while exercising sound judgment in complex, sensitive, and high-stakes situations will be exercised on a regular basis. Minimum Qualifications Bachelor's degree in Accounting, Finance, Business Administration, or other field allowing for an understanding of risk and controls and 5 years of relevant experience in professional auditing, compliance, or related oversight roles reviewing, identifying, or performing control related activities OR Master's Degree in Accounting, Finance, Business Administration, or other field allowing for an understanding of risk and controls and 3 years of relevant experience in professional auditing, compliance, or related oversight roles reviewing, identifying, or performing control related activities. Ability to apply concepts of risks and controls to their work, or an understanding of risk and control frameworks such as COSO or internal audit standards, including but not limited to, internal auditing, public accounting, or a compliance role. One year of experience performing research, interpreting, and applying complex federal and/or state regulations. Superior written and verbal communication skills, including the ability to communicate persuasively with senior management, deans, and faculty regarding control deficiencies and required corrective actions. Commitment to operating under the highest ethical standards and confidentiality. Preferred Qualifications Professional Certification such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Compliance & Ethics Professional (CCEP), or other related, recognized certification. Master's degree in a relevant discipline (e.g., MBA, M.S. in related business field). Direct internal audit or compliance experience within an Ohio public university or major non-profit organization, with knowledge of the specific Ohio higher ed regulatory environment. Knowledge of federal regulations related to University operations Advanced proficiency with data analytics and visualization tools. Essential Functions and percent of time: Under the direction and leadership of the Director, performs the following: Proactive Risk Management and Advisory Services (20%)

Risk Mitigation Partnership:

Serve as a proactive advisor to business process owners and compliance officers on the design and implementation of new or enhanced internal controls, systems, and processes.

Regulatory Foresight:

Proactively monitor and research emerging federal, state, and international regulatory changes (e.g., Ohio SB1, changes to export controls, FERPA regulations, Financial Aid interpretations, Title IX guidance, foreign gift reporting, NIH/NSF grant rules, etc) to advise management on necessary policy adjustments and control enhancements before the compliance deadline. Continuous Monitoring (CM): Assist in developing and implementing Continuous Auditing/Monitoring (CA/CM) programs by defining key risk indicators (KRIs) and utilizing technology, where appropriate, to perform real-time analysis of high-risk transactions. Compliance Audit Planning and Execution (50%)

Audit Scope:

Lead and execute complex, risk-based assurance audits in accordance with the Institute of Internal Auditors standards, focusing on areas of most significant risk to a major research institution, which may or may not include:

Ohio State Regulatory Compliance:

Adherence to Ohio regulations where required (ex. Ohio Auditor of State requirements, the Ohio Public Records Act, etc), accounting standards, audit standards, etc

Research Compliance:

Sponsored projects (Uniform Guidance), human subjects (IRB), animal care (IACUC), conflicts of interest, and export controls.

Financial & State Compliance:

Title IV/Financial Aid, State of Ohio fiscal standards, institutional reserves, and complex tax compliance (e.g., UBIT). Information Technology (IT)

Controls:

Cybersecurity, data governance (FERPA/HIPAA), and general computer controls (GCCs) over critical University systems.

Data-Driven Auditing:

Apply advanced data analytics techniques (CAATs) to large volumes of University data to identify anomalies, patterns of non-compliance, and control failures efficiently and effectively.

Reporting:

Prepare comprehensive, high-quality audit reports with clear, concise, and actionable recommendations. Governance and Accountability (25%)

Follow-up and Validation:

Track and validate management's implementation of corrective action plans (CAPs) to ensure remedial steps address the root cause of the finding and result in a sustained improvement of the control environment.

Investigations:

Assist with or conduct special investigations, reviews, or allegations of misconduct as directed, in coordination with Compliance, Risk, or General Counsel.

External Coordination:

Coordinate audit activities with external auditors where necessary, regulatory agencies, and sponsored research monitors to minimize duplication of effort and ensure a cohesive approach to institutional assurance.

Board Interaction:

Assist the Director of Internal Audit in preparing and presenting (when requested) reports on the University's control and compliance status to the University's Board of Trustees, providing objective insight on high-level risks. Prepare and maintain audit workpapers and documentation in accordance with IIA standards. Other duties as assigned. (5%)