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

University of Tennessee•Knoxville, TN

6d•$55,000 - $85,000

About The Position

The Research Auditor performs risk-based audit, advisory, and compliance activities supporting the University of Tennessee System’s research enterprise. The position evaluates processes, controls, and compliance risks related to sponsored research, research administration, research integrity, and the management of externally funded research and research security. It supports research-focused risk assessments and audit planning by identifying emerging risks and potential noncompliance, and works collaboratively with Research Administration, principal investigators, departmental leadership, compliance functions, and other University stakeholders. The role assists with or leads audits and consultations, evaluates compliance with applicable laws, regulations, sponsor requirements, University policies, and grant terms, and identifies opportunities to strengthen controls, accountability, and operational effectiveness. A Senior Research Auditor independently leads more complex research-related engagements, develops audit programs and risk assessments, communicates results to senior leadership, and may guide or mentor other audit staff. The position plans and manages projects, conducts risk analyses, coordinates team members, and monitors assignments, budgets, and deadlines. It gathers and analyzes data and evidence through information systems, sampling, document collection, process observation, interviews, questionnaires, surveys, and data analytics. It prepares thorough work papers; reviews team work papers and reports; evaluates audit processes; identifies control, compliance, operational, or fraud-related issues; and develops feasible, cost-effective recommendations. The role communicates with audit clients, leads entrance and exit conferences, drafts or reviews reports, and evaluates client responses. The position requires a bachelor’s degree in accounting or a related field and more than two years of relevant experience. A professional certification such as CPA, CIA, CISA, or CFE is required for the Senior Auditor role and preferred for the Staff Auditor role. A master’s degree and experience in higher education, research administration, audit team leadership, data analytics, and project management are preferred. The role requires willingness to travel.

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-subject protections, research compliance, or comparable work evaluating controls, operational effectiveness, and compliance.
Experience developing project plans to achieve risk-based objectives in a complex environment.
Professional certification such as CPA, CIA, CISA, CFE, or similar is required for the Senior Auditor role and preferred for the Staff Auditor role.
Knowledge of current internal audit philosophy and practices, including internal control testing techniques.
Knowledge of Uniform Guidance and federal grants management requirements.
Skill in preparing clear, concise work papers and comprehensive reports; interpreting and applying policies and regulations; and conducting interviews.
Knowledge of sponsored-project administration and subrecipient monitoring.
Ability to organize work, prioritize objectives, evaluate evidence, and exercise independent judgment based on 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 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-subject protections (IRB) and animal care/use (IACUC).
Ability to manage multiple ongoing projects and independently establish priorities to meet deadlines.
Knowledge of research integrity, misconduct processes, and responsible conduct of research (RCR).
Ability to exercise independent, 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.

Nice To Haves

Master’s degree.
Ability to determine team priorities and allocate time and resources effectively.
Knowledge of administrative operations at a higher education institution.
Competency in data analysis software and familiarity with 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 and experience with data analytics tools.
Experience auditing in higher education or research administration, or working in an administrative role in higher education.

Responsibilities

Develop or oversee project plans, defining objectives, scope, information-gathering methods, and audit methodologies.
Conduct or oversee risk analyses addressing financial, operational, compliance, and strategic risks.
Coordinate team members, provide guidance, assign work, monitor time budgets and deadlines, and inform the supervisor of project status, issues, solutions, and client feedback.
Collect and analyze data and evidence from university information systems and internal and external sources using sampling, document collection, observation, interviews, questionnaires, surveys, and data analytics as appropriate.
Prepare thorough, organized, 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 processes, provide feedback to team members, and participate in long-range planning, audit-tool development, and office-practice improvements.
Analyze information to identify ineffective policies or controls, noncompliance, operational inefficiencies, and possible fraudulent acts.
Develop feasible, cost-effective solutions and recommendations for significant issues.
Communicate project status, barriers, and potential issues to audit clients; negotiate effective recommendations and evaluate clients’ written responses.
Lead entrance and exit conferences, draft project reports or review reports prepared by team members, and communicate findings appropriately to the audience.
For the Senior Research Auditor role, independently lead complex research engagements, develop audit programs and risk assessments, communicate results to senior leadership, and potentially guide or mentor audit staff.
Travel as needed.