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State of Washington Class Specification

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AUDIT SPECIALIST - DOT 3
158C
Category: Financial Services

Definition

This is the senior, specialist and lead worker level of the series. As a senior-level auditor-in-charge, plans, conducts, and leads risk based audits and consulting engagements for the agency, and audits of private organizations, local governments or non-profits.  As an auditor-in-charge, plans, conducts, and leads auditors that have been assigned to the engagements and reviews the work submitted. Conducts work 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. 

Typical Work

Performs risk based audits and consulting engagements for the agency, and audits of private organizations, local governments or non-profits.  Includes planning, fieldwork, preparing work papers, and drafting reports; 

Delivers the services of value for management as part of an approved annual work plan or at the request of management and the Director of Internal Audit, to help management evaluate and improve internal control, risk management, and the governance process; 

Develops efficient and effective engagement procedures, which will require the Audit Specialist to analyze, evaluate, and verify financial records, information systems, procedures, and controls supporting the area being audited; determines if an organization is in compliance with federal, state, and agency requirements, provides other guidance as part of both formal and informal consulting engagements; 

Audits of private organizations can include pre-award or post-award review of costs, rates and systems; 

As lead Audit Specialist, may oversee and review the work of other Audit Specialists, and advise on appropriate engagement techniques; 

May assist in fraud, citizen complaint, and other special investigations;  

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

Confers with auditee/customer staff during engagements on recommended changes and on investigative activities; 

Conducts entrance and exit conferences or interviews with internal and external management; under limited supervision recommends changes which will improve accountability over public assets, financial records, systems procedures and controls, or which will bring the agency into legal compliance; advises management on implementing changes; 

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

Performs pre-award evaluations of proposals 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; 

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;  

May participate on an internal quality control review team as part of an ongoing and periodic quality assurance function; may also participate on a Peer Review team which evaluates another state's audit functions; 

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.

Senior or specialist positions may lead or supervise lower level staff. However, lead worker positions must lead lower level audit staff; 

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 two years of professional experience in accounting, auditing, finance, banking, investigation, retail management, or other related experience, including one year of 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 one year of professional experience but not for the year of audit experience. 

OR 

One year as a Transportation Audit Specialist 2

Class Specification History

New class effective January 1, 2006; Audit Specialist - DOT 3 (replaces 14662 Audit Specialist 3, Transportation).

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