Staff or Senior Research Auditor, Office of Audit and Compliance - UT System Administration

University of Tennessee•Knoxville, TN

About The Position

The Research Auditor performs risk-based audit, advisory, and compliance activities supporting the University of Tennessee System’s research enterprise. The role evaluates processes, controls, and compliance risks related to sponsored research, research administration, research integrity, and the management and security of externally funded research. It helps identify emerging risks and potential noncompliance across the System and works collaboratively with Research Administration, principal investigators, departmental leadership, compliance functions, and other University stakeholders. A Staff or Senior Research Auditor may assist with or lead audits and consultations and evaluate compliance with applicable laws, regulations, sponsor requirements, University policies, and grant terms. A Senior Research Auditor independently leads more complex engagements, develops audit programs and risk assessments, communicates results to senior leadership, and may guide or mentor other audit staff. The role includes planning projects, coordinating team members, conducting and documenting fieldwork, reviewing work papers and reports, identifying issues and practical solutions, communicating with audit clients, and contributing to audit quality and long-range planning.

Requirements

Bachelor’s degree in accounting or another related field.
More than two years of relevant experience in internal auditing, compliance, information systems auditing, consulting, investigations, Uniform Guidance, sponsored-project administration, subrecipient monitoring, effort reporting, cost allowability, procurement, financial conflict of interest, research security, export controls, human subjects protections, research compliance, or comparable work evaluating controls, operational efficiency and effectiveness, and compliance.
Experience developing project plans to achieve risk-based objectives in a complex environment.
Knowledge of current internal audit philosophy and practices, including internal control testing techniques.
Knowledge of Uniform Guidance and federal grants management requirements.
Ability to prepare clear, concise work papers and comprehensive reports; interpret and apply policies and regulations; and conduct interviews.
Knowledge of sponsored-project administration and subrecipient monitoring.
Ability to organize work, conceptualize and prioritize objectives, evaluate evidence, and exercise independent judgment under University policies and regulations.
Knowledge of effort reporting, cost allowability, and cost allocation.
Ability to coach, motivate, and provide performance feedback to team members.
Knowledge of procurement in a grant-funded environment.
Awareness of the need to maintain confidentiality and objectivity.
Knowledge of financial conflict of interest requirements.
Ability to maintain a sense of urgency in carrying out internal audit responsibilities.
Knowledge of research security and export controls, including ITAR/EAR.
Competence in Microsoft Word and Excel and ability to use other audit software.
Knowledge of human subjects protections (IRB) and animal care/use (IACUC).
Ability to handle multiple projects and independently establish priorities to meet deadlines.
Knowledge of research integrity, misconduct processes, and responsible conduct of research (RCR).
Ability to exercise independent and mature professional judgment when evaluating audit evidence and formulating recommendations.
Knowledge of internal audit methodology, risk assessment, and control evaluation.
Ability and willingness to travel.
Knowledge of data analysis or analytics tools applied to audit testing.
Strong written and verbal communication skills, including presenting to senior leadership.
For the Senior Auditor role, a professional certification such as CPA, CIA, CISA, or CFE is required; certification is preferred for the Staff Auditor role.

Nice To Haves

Master’s degree.
Ability to determine team priorities and allocate time and resources effectively.
Knowledge of administrative operations in a higher education institution.
Competency in data analysis software.
Familiarity with rules and regulations involving externally sponsored research.
Supervisory and project management experience.
Experience leading audit teams, reviewing work papers, and managing multiple ongoing projects.
Experience in an internal audit or research-focused function.
Experience with data analytics tools.
Experience auditing in higher education or research administration, or working in a higher education administrative role.
Professional certification such as CPA, CIA, CISA, or CFE for the Staff Auditor role.

Responsibilities

Develop or oversee project plans, including objectives, scope, information-gathering methods, and areas of operations to be examined.
Conduct or oversee risk analyses covering financial, operational, compliance, and strategic risks.
Coordinate team members, provide guidance, assign work, monitor time budgets and deadlines, and inform the supervisor about project status, issues, solutions, and client feedback.
Collect and analyze data and evidence using university and external sources, sampling, document review, observation, interviews, questionnaires, surveys, and data analytics as appropriate.
Prepare thorough, organized, and self-explanatory work papers that support conclusions and demonstrate completion of project objectives.
Review team members’ work papers and reports for quality, clarity, and completeness.
Evaluate audit process effectiveness, provide feedback to team members, contribute to long-range planning, develop audit tools, and improve office practices.
Analyze information to identify control weaknesses, noncompliance, operational inefficiencies, or evidence of fraud.
Identify cost-effective and feasible solutions to significant issues and deficiencies.
Communicate project status, barriers, and potential issues to audit clients; lead entrance and exit conferences; and negotiate effective recommendations.
Draft or review project reports and evaluate clients’ written responses to recommendations.
Adapt clear written and verbal communications to the audience and engage senior leadership and other stakeholders.
Support research-focused risk assessments and audit planning by identifying emerging risks and potential areas of noncompliance across the System.
For Senior Research Auditor, independently lead complex research-related engagements, develop audit programs and risk assessments, communicate results to senior leadership, and potentially mentor audit staff.