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State of Washington Class Specification

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AUDIT SPECIALIST - DOT 4
158D
Category: Financial Services

Definition

This is the supervisory or expert level of the series. This level’s role is to direct, supervise, motivate, mentor and counsel staff, working as part of a management team for the agency’s Audit Office. This position plays a critical role in delivering a variety of services provided, including risk based audits and consulting engagements for the agency, and audits of private organizations, local governments or non-profits;

Directs or supervises audits and staff to ensure work is done in accordance with applicable professional standards including the Institute of Internal Audit Standards, and Government Auditing Standards, as well as federal and state laws, and regulations;

This position may also supervise or conduct internal investigations including fraud or Whistleblower investigations, or other reviews as requested by management;

Typical Work

In the absence of the Director of Audit, is responsible for the Audit Office activities and staff; attends executive level meetings; consults with management about sensitive reviews or investigations and advises them on corrective actions that will improve operations;

Expert positions may lead or supervise lower level staff. Supervisory positions must supervise level 3 Auditors;

Directs or supervises audits or investigations;

Supervises and directs the work of audit specialists, including risk based audits and consulting engagements for the agency, and audits of private organizations, local governments or non-profits;

Conducts Planning conferences;

Actively involved in audits and consulting engagements from the planning to the reporting stage; work overseen is to help management evaluate and improve internal control, risk management, and the governance process;

Provides timely reviews of staff work and guidance to ensure that high quality work is performed, in accordance with applicable professional standards;

Participates in developing hour budgets for engagements, scheduling, training, team building and the development of efficient and effective engagement procedures;

Conducts research and makes presentations to parties inside or outside the agency;

Prepares staff evaluations, training plans and other aspects of employee performance plans;

May direct work conducted by private investigative or CPA firms;

Plans and conducts audit work and consulting engagements;

Researches and analyzes the Washington State Ethics Law in order to respond to agency and employee inquiries;

Consults with supervisors about requests for special or emergency work assignments, and recommends revision to work schedules accordingly;

Communicates sensitive audit results and information to agency management;

Conducts entrance and exit conferences or interviews with internal and external management, including taking the lead on the most sensitive of these meetings; recommends changes which will improve accountability over public assets, financial records, systems procedures and controls, or which will bring an organization into legal compliance; advises management on implementing changes;

Prepares reports with results of audit and consulting engagements, or reviews those prepared by subordinates and ensures that conclusions are supported and appropriate audit standards are met;

Evaluates actions determined by the agency to correct deficiencies in prior audit reports and management reviews to determine that corrective action has been implemented and is adequate; prepares reports to management explaining any remaining deficiencies and recommending actions that will bring the agency into compliance; consults with appropriate management to discuss deficiencies, corrective actions, and recommends the most reasonable course of action or determines that management has accepted the risk identified in the audit report;

Acts as the liaison from the agency to external audit groups to coordinate their efforts;

Provides direction for pre-award or post award audits for consulting agreements to determine the appropriateness of cost rates and to analyze accounting systems; does this work with private and public entities including sole proprietorships, partnerships, corporations, and government agencies, in accordance with generally accepted governmental auditing standards;

Functions as an expert on an internal quality control review team as part of an ongoing and periodic quality assurance function; or participates as an expert on a Peer Review team which evaluates another state's audit functions;

Participates as a member of management committees to advise on development or revision of policy and procedures for the agency;

Develops and/or delivers segments of a training program to agency staff and/or clients.
Attends classes and seminars to improve technical knowledge and proficiency, as well as to meet required professional audit standards for training;

Travel to all areas of Washington State; remain overnight in vicinity of audit site during field work, for up to five consecutive days or longer. Travel may include areas outside Washington State.
Expert positions may lead or supervise lower level staff. However, supervisory positions must supervise level 3 audit staff;

Performs other work as required.

Specialist in Washington State Ferries Division Audits

Incorporating the work described above, this position may work exclusively on Ferries Division audit or consulting engagements, reporting administratively to Ferries management and functionally to the Director of Internal Audit at headquarters. Work performed will be part of the annual work plan developed under the direction of the Director of Internal Audit;

Travel to all areas of Washington State; remain overnight in vicinity of audit site during field work, for up to five consecutive days or longer. Travel may include areas outside Washington State;

Performs other work as required.

Specialist for Investigations

Independently conducts investigations and reviews of special interest to executive management involving WSDOT employees or private contractors regarding alleged misappropriation or misuse of public assets, state ethics law violations, or other areas requested by management.

May also conduct state Whistleblower investigations when referred by the State Auditor’s Office under the authority of RCW 42.40. Initiates investigations under the direction of the Director of Internal Audit or designee. Performs this work in accordance with the Audit Office procedures. Coordinates and monitors the services of hired investigative agencies; coordinates investigative activities with the office of the Attorney General as necessary; monitors the activities of third party investigative agencies, and may testify at investigative proceedings;

Conducts conferences or interviews with internal and external management; recommends changes which will improve systems, procedures and controls, or which will bring an organization into legal compliance; and assists management in implementing corrective action;

Prepares reports with results of an investigation or review and ensures that conclusions are supported and appropriate standards and Audit Office procedures are met;

Travel to all areas of Washington State; remain overnight in vicinity of audit site during field work, for up to five consecutive days or longer. Travel may include areas outside Washington State;

Performs other work as required.

Legal Requirement(s)

There may be instances where individual positions must have additional licenses or certification. It is the employer’s responsibility to ensure the appropriate licenses/certifications are obtained for each position.

Desirable Qualifications

Most positions require a Bachelor’s degree in accounting, business or public administration, economics, computer science, or other related field that included 10 semester or 15 quarter hours of college level accounting and four years of professional auditing experience.  

A Master’s degree in a related field or a Certified Public Accountant, Certified Internal Auditor, Certified Information System Auditor, or Certified Fraud Examiner will substitute for two years of professional auditing experience.

OR 

One year as a Transportation Audit Specialist 3.

Class Specification History

New class effective January 1, 2006; Audit Specialist - DOT 4 (14663 Audit Specialist 4, Transportation and 14664 Audit Specialist 5, Transportation).

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