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State of Washington Class Specification

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ASSISTANT STATE AUDITOR 5
156E
Category: Financial Services

Definition

This is the supervisory or expert level of the series.

Positions conducting Financial and Compliance Audits:

Supervise auditors responsible for conducting complete financial and compliance audits and investigations pertaining to Whistleblower, citizen complaints, or fraud;

OR

Provides technical services, develops and implements statewide auditing policies and procedures, and develops and conducts formal training;

OR

Establishes the budgeting, accounting, and reporting system for local governments, and provides consulting services and training for auditees and professional associations.

This is the expert level for positions conducting Performance Audits:

Leads performance audits including the largest and most complex assignments. Responsible for the audit from the audit planning through final audit presentation.

Typical Work

Positions conducting Financial and Compliance Audits:

Supervises a professional staff of auditors, including skills development planning, delegation of assignments, coaching, training, counseling, evaluation, and taking appropriate corrective and disciplinary action; 

Plans, organizes, assigns duties, and directs work activities of lower level auditors; develops audit plans and approves audit plans developed by subordinate auditors;  

Receives requests for special or emergency audits and advises manager of plans to alter audit schedule accordingly; 

Monitors budgets for all audits within area of responsibility; 

Develops and writes audit reports; reviews draft audit reports and working papers submitted by subordinate auditors; verifies working papers to support conclusions and judgment of subordinate auditors;  

Conducts difficult or sensitive entrance/exit conferences or interviews with personnel of agencies audited; recommends changes which will improve financial records, systems, procedures, and controls, or which will bring auditee into legal compliance; assists auditee in implementing changes;  

Conducts Whistleblower, fraud, citizen complaint, or other investigations; 

Responds to requests for information from the press, public, Legislature, and state/local governments; 

Presents formal training to staff and customers; 

Analyzes and interprets accounting and auditing standards, as well as federal, state, and local requirements; 

Serves on agency, interagency, intergovernmental, and professional committees; 

Expert positions may lead or supervise lower level staff. However, supervisory positions must supervise level 3 and level 4 auditors.  

Positions conducting Performance Audits; 

Develops plans for large and complex audits with clearly defined objectives, scope, and methodology, including audit steps, procedures, task assignments, and time estimates;

Ensures audits are designed to adequately and efficiently address questions and concerns. Surveys, spreadsheets, interviews, and file reviews are set up to gather the information required while making an effective use of time during all stages of an audit; 

Ensures fieldwork is carried out in a timely, efficient and effective manner and that audit issues are addressed satisfactorily. Monitors team members progress to ensure assignments are being completed as planned; 

Reviews audit work papers to ensure that work meets agency policy and audit standards, that audit evidence is sufficient and appropriate, and that the conclusions align with the audit objective(s);  

Verifies that draft reports are effectively organized, grammatically, logically, and structural sound and written so that the reader clearly understands the complex information being delivered; 

Plays a positive leadership role on the team and provides staff the day-to-day support needed to successfully perform the work. Provides on-the-job training and ongoing feedback to team members to continue developing their audit skills;  

Reflects an understanding of government organizations, structures and the political environment in all interactions with agency officials. Ensures audit clients the team has contact with feel respected and listened to.

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

Positions conducting Financial and Compliance Audits: 

Bachelor’s degree with a major in accounting or other related field which included 10 semester hours or 15 quarter hours of college level accounting;

AND

Two years of professional experience as a journey level auditor auditing governmental entities.  Auditing experience in a specialty area may be required for some positions.   

Positions conducting Performance Audits:

Master's degree in business, public administration, public policy, political science, statistics, economics, law, social science or other related field;

AND

At least three years of progressively responsible experience conducting performance audits, evaluations of government agencies and programs, or the equivalent.

Class Specification History

New class effective January 1, 2006; Assistant State Auditor 4 (replaces 13560 Assistant State Auditor 4).
Revised desirable qualifications for levels 1 through 4, April 19, 2007.
Revised definition, desirable qualifications, general revision, February 11, 2011.
Revised code, formerly 156D; revised title, formerly Assistant State Auditor 4; revised definition and desirable qualifications.  Adopted November 13, 2014 and effective November 14, 2014.
Revised definition adopted 11/9/2017, effective 11/10/2017.
Salary adjustment adopted 11/9/2017, effective 01/01/2018; previously range 66.
Revised definition, typical work and desirable qualifications; adopted November 9, 2017; effective November 10, 2017.

 

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