Description
SUMMARY
The Senior Auditor role will ensure successful completion of assigned audit engagements from start to finish, inclusive of planning, fieldwork and reporting activities. Reports to the Internal Audit Operations Director. Will be assigned as Audit Lead on certain audit engagements. At times, may not be assigned the Audit Lead position in order to assist in the development of other Audit staff. Supports daily activities of other auditors assigned to assist the Audit Lead during an engagement. Applies risk and control concepts to scenarios encountered and identifies potential issues. Communicates identified issues with the Audit Lead and Internal Audit management to ensure potential concerns are addressed in a timely and effective manner. This position will entail complex assignments requiring increased technical skills primarily in International Trade Compliance and supervisory responsibilities. It may also require involvement in departmental projects and related decisions.
ESSENTIAL DUTIES AND RESPONSIBILITIES
1. Conducts assigned audit engagement tasks/areas successfully from beginning to end
2. Identifies and communicates issues raised, offering recommended solutions relevant to business and risk
3. Maintain strong knowledge of UK, EU, and U.S. export controls (e.g., EAR, ITAR, EU/UK Military List, Dual-Use regulations) and sanctions regimes (e.g., OFAC, EU and UK Sanctions Lists).
4. Demonstrate familiarity with licensing systems and regulatory authorities across the UK, EU, and U.S.
5. Review and assess Customs classification, Country of Origin and Valuation.
6. Evaluate adherence to Free Trade Agreements and Preferential Origin rules.
7. Interpret and apply complex regulatory frameworks in the context of internal audits.
8. Supervises other auditors assigned to engagements providing guidance and overall review of deliverables
9. Ensures audit conclusions are based on a complete understanding of the process, circumstances, and risk
10. Develops engagement specific audit programs and testing procedures relevant to risk and test objectives
11. Obtains and reviews evidence ensuring audit conclusions are well-documented
12. Ensures adherence at all times to all applicable department and professional standards
13. Communicates status of assigned tasks to engagement lead in a manner that is clear and concise ensuring high quality, accurate, and efficient results
14. Organizes personal effort to be risk-based, productive, and efficient at all times
15. Ensures adequate focus on personal professional growth relevant to taking on more challenging assignments, in line with standard audit career progression; proactively seeks relevant education and training opportunities
16. Writes observations/findings and effectively and efficiently communicates details of observations/findings
17. Formulating professional development and educational plans for staff members
18. Planning and allocating resources and individuals in accordance with skills and schedules
19. Conducts interviews and discussions with other company functions (e.g., Legal, Compliance, IT and Finance) to understand perspectives and assess risk
20. Ability to work with all types of individuals in a constructive manner
21. Prioritizes assignments appropriately to meet deadlines and promptly communicates ahead of time any potential problems that would prevent the team from meeting its objectives
22. Leads or participates in department projects as assigned to improve the efficiency and effectiveness of department duties and responsibilities
23. Conducts interviews and participates in hiring and training processes
24. Perform any other tasks assigned by the Chief Audit Executive or Audit Director
GENERAL KNOWLEDGE, SKILLS AND ABILITIES
25. Broad Export and/or Customs experience and increasing responsibility, preferably with a high technology/instrumentation/defense company or government agency that regulates international trade
26. Strong knowledge of UK, EU, and U.S. export controls (e.g., EAR, ITAR, UK or EU Member State Military List, Dual-Use regulations) and sanctions regimes (e.g., OFAC, EU and UK Sanctions Lists).
27. Proven experience auditing trade compliance programs and internal control procedures.
28. Familiarity with licensing systems and regulatory bodies in the UK, EU, and U.S.
29. Understanding of customs processes, including Declarations and documentation.
30. Knowledge of Free Trade Agreements and Preferential Origin rules.
31. Ability to interpret and apply complex regulatory frameworks in an audit context.
32. Ability to observe and understand business processes ensuring processes are documented completely and accurately
33. Ability to apply audit standards through practical application
34. Proactive in researching business best practice concepts in order to apply as appropriate
35. Solid listening skills and ability to identify gaps in logic – inquisitive
36. Strong organization and follow up skills including the ability to handle competing priorities and meet all deadlines and commitments
37. Reliability
38. Possess an appropriate combination of technical expertise in fields such as auditing, finance, technology, operations, or investigations
39. Ability to flourish in a fast-paced, complex environment and willing to adapt to change
40. Demonstrated ability to work in small teams and ensure successful results
41. Ability to give and follow instructions accurately and efficiently; proactive in asking clarifying questions to ensure work effort is directed wholly toward desired outcome
42. Ability to recognize when learned theoretical concepts should be applied
43. Solid understanding and ability to apply risk and control concepts
44. Ability to identify underlying cause of an issue identified
45. Eagerness to understand other departments in the company with risk, control, and governance responsibilities and what is necessary for successful tactical collaboration and information sharing
46. Good communication skills along with good or developing negotiation skills
47. Ability to identify sensitive issues and facilitate communications in a proactive manner to avoid surprises
48. Willingness and ability to adapt to new circumstances, information, and challenges
49. Executes effective and thorough application of all internal audit policies and performance standards within assigned responsibility Ability and willingness to travel domestically and internationally (20-30% of time)
EDUCATIONAL, EXPERIENCE AND STATUS REQUIREMENTS
50. Bachelor’s degree in a field such as International Trade, Business Administration, Law or the equivalent combination of education, training, and work experience (5-7 years)
SUPERVISORY RESPONSIBILITIES
This job may provide general supervision to an audit, service or department project which may include supervision of other staff members and direct supervision of other exempt and non-exempt personnel. Carries out supervisory responsibilities in accordance with the organization's policies and applicable laws. Responsibilities include providing leadership to employees, interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems.
COMPETENCIES
To perform the job successfully, an individual should demonstrate the following competencies:
Professional Ethics:
51. Upholds and promotes The Institute of Internal Auditor’s Code of Ethics
52. Adheres to the organization’s key policies, practices and procedures
53. Treats other fairly without discrimination
54. Maintains objectivity in appearance and fact
55. Investigates ethical issues and proposes measures for resolution
56. Acts with due sensitivity where ethical principles are being abused
57. Exercises due professional care
58. Applies ethical principles and values to the activities being audited
59. Explains the responsibility of internal audit with respect to the ethical climate of the organization
60. Discusses ethical conflicts with the Chief Audit Executive
Internal Audit Management:
61. Analyzes own strengths and weaknesses to maximize personal contribution to the organization
62. Strives for quality and excellence and encourages others to do the same
63. Takes personal accountability for results delivered in areas of responsibility
64. Continues professional development and utilizes relevant learning opportunities
65. Assesses self-development and career needs and takes advantage of new challenges as opportunities for personal and professional growth
66. Maintains up-to-date competencies required for effective internal audit delivery
67. Values and promotes diverse viewpoints and cultural sensitivity
68. Supports and contributes to the recruitment process within the internal audit function
69. Acts as a role model by exemplifying high performance for team members
70. Anticipates and responds sensitively to staff problems, concerns and questions
71. Articulates clear expectations and business goals and links these to organizational strategy
72. Delegates tasks in a constructive and supportive fashion
73. Monitors staff performance and workload and provides constructive and timely feedback to help others achieve their goals
74. Coaches others to enhance their competence and professional development
75. Develops and implements a plan for professional development for members of the internal audit function
76. Provides opportunities and proactive input in the development and career needs of others
77. Uses a variety of assessment tools and tests to assess a candidate’s capability and competence
Governance Risk and Control:
78. Operates within the organization’s frameworks for governance, risk and control
79. Supports a culture of fraud risk awareness at all levels of the organization
80. Maintains an understanding of the processes used to support fraud investigations
81. Creates audit engagement plans based on the risk and its impact on the organization
82. Applies the concepts of controls during audit activities
83. Provides an explanation on the risk profile of the internal audit engagement to relevant parties
84. Assesses and accounts for the potential for fraud risk and identifies common types of fraud associated with the internal audit engagement
85. Evaluates the appropriateness of the organization’s frameworks for governance, risk and control
86. Ensures internal audit activities are aligned with and enhances the organization’s enterprise risk management strategy and risk profile
87. Ensures that proposals for improvements to internal controls are balanced with organizational objectives and capabilities
Business Acumen:
88. Takes account of cultural aspects of the organization
89. Takes account of the mission, strategic objectives and business nature of the organization
90. Maintains industry specific knowledge appropriate to the audit engagements
91. Assesses and takes account of basic macroeconomic and microeconomic factors and relevance to the audit engagements
92. Maintains a current understanding of the latest global developments, regulatory and legal requirements and assesses the relevance to the audit engagements
93. Demonstrates sound working knowledge of the quality control frameworks relevant to the audit engagements
94. Maintains knowledge of the organization and its risks
95. Maintains industry specific knowledge appropriate to the organization
Communication:
96. Secures the trust of others through positive use of communication
97. Fosters open communication
98. Demonstrates respect for others, and customizes messages to reflect the needs of the target audience
99. Organizes and expresses ideas clearly and with confidence in order to influence others
100. Selects appropriate communication forms (verbal, non-verbal, visual, written) and media (face to face, electronic, paper-based)
101. Employs the technical conventions of language (spelling, punctuation, grammar, etc.) correctly
102. Listens actively, asking questions as required to check own understanding
103. Solicits feedback from audience to gauge the effectiveness of the communication
104. Anticipates reactions to communication and plans responses in advance
105. Discusses audit findings and their impacts professionally and confidently with appropriate levels of the organization
106. Interprets and uses body language to reinforce communication
107. Uses graphical methods to communicate processes and other complex information
108. Delivers information in a structured fashion to foster learning and development among members of the audience
109. Applies appropriate communication skills in interviews
Persuasion and Collaboration:
110. Upholds service orientated attitude
111. Anticipates and makes allowances for the impact of own interpersonal style on others when communicating and building relationships
112. Manages conflict by negotiating and resolving disagreements
113. Takes account of an organization’s politics and acts accordingly
114. Puts people at ease and builds open, constructive relationships with all parties
115. Identifies and manages the needs and expectations of the stakeholders
116. Collaborates with others and encourages others to work collaboratively
117. Leads by example with regard to respect, helpfulness and cooperation
118. Maintains independence and objectivity in all situations
119. Recognizes own limitations and seeks advice and support where required
120. Respects confidentiality and secures the trust of other parties
121. Participates fully as a team player
122. Works to remove organizational barriers and identifies resources to assist the internal audit team
123. Applies a knowledge of motivation theory and group dynamics when encouraging others
124. Nurtures and builds effective partnerships with audit engagement clients to achieve results
125. Shows resilience in difficult situations to push through resistance and then work with people in a constructive manner
126. Makes a positive impact on others, demonstrates credibility and secures respect and cooperation
127. Uses a range of strategies to build active consensus and support
Critical Thinking:
128. Maintains curiosity and exercises professional skepticism
129. Ensures that information in decision making is relevant, accurate and sufficient
130. Selects and uses a variety of manual and automated tools and techniques to obtain data and other information on business process
131. Analyzes and appraises the efficiency and effectiveness of business processes
132. Applies problem solving techniques for routine situations
133. Uses critical thinking to identify and propose tactics for business process improvement
134. Applies data collection, data mining, data analysis and statistical techniques
135. Ensures that the relevant tools and techniques are used during the business process analysis
136. Selects and uses appropriate research, business intelligence and problem-solving techniques to analyze and solve complex situations
137. Assists management in finding practical solutions to address issues identified through audit activity
Internal Audit Delivery:
138. Maintains objectivity throughout the audit engagements
139. Applies the organization’s audit methodology and carries out the audit procedures to meet the specific audit engagement objectives
140. Manages all resources efficiently to ensure the engagement objectives are met
141. Demonstrates efficiency and persistence, managing own time and ensuring engagement deadlines and objectives are met
142. Selects and applies the appropriate tools and techniques to data gathering, analysis and interpretation, and reporting
143. Plans and conducts audit engagements to identify key risks and controls
144. Obtains reliable, relevant and sufficient evidence and evaluates critically
145. Develops and ensures that working papers are a true reflection of all activities performed during the audit engagement
146. Presents findings and proposes recommendations that deal with root cause of issues and impact to the organization
147. Follows up with management to ensure that management actions have been effectively implemented or that senior management has accepted the risk of not taking action
148. Supervises the execution of audit engagements to ensure that objectives are met and quality is assured
149. Develops, implements and monitors project plans to ensure delivery in accordance with agreed timelines
150. Provides assurance and advisory services to senior management and the board
151. Ensures that the scope of work is appropriate for the audit assignment
Improvement and Innovation:
152. Initiates and manages change within sphere of responsibility
153. Encourages others to embrace change by explaining the intended benefits
154. Identifies the risks associated with change and adapts audit activity to manage the risks
155. Assesses the potential barriers and resources for change initiatives
156. Maintains personal performance and effectiveness in changing and ambiguous environments
157. Accommodates new priorities and implements positive changes in area of work
158. Anticipates reactions to change and adapts own style to support others
159. Seeks and justifies opportunities for continuous improvement
160. Encourages others to propose innovative ideas and provides positive feedback to ensure new ideas are progressed
161. Contributes to insight and proposals for change and improvement
162. Investigates and analyzes the reasons for change in the organization
163. Implements change programs across the audit function and team
164. Adjusts team priorities to new and changing priorities of the organization
QUALIFICATIONS:
SC clearance eligibility required.
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Language Skills: Ability to read, analyze, and interpret financial reports and legal documents. Ability to respond to common inquiries from business unit leaders. Ability to effectively present information to Corporate, business unit and/or segment management.
Mathematical Skills: Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, and percentages. Ability to apply concepts such as fractions, percentages, addition, subtraction, multiplication and division. Ability to work with mathematical concepts such as probability and statistical inference.
Reasoning Ability: Ability to apply common sense understanding to carry out instructions furnished in written, oral, or diagram form. Ability to deal with problems involving several concrete variables in standardized situations.
Computer Skills: To perform this job successfully, an individual should have knowledge of MS Outlook; MS Excel and MS Word software.
Corporate: Strong knowledge of corporate organization.
Reporting: Ability to efficiently summarize and provide timely report on the status of ongoing activities.
Teledyne and all of our employees are committed to conducting business with the highest ethical standards. We require all employees to comply with all applicable laws, regulations, rules and regulatory orders. Our reputation for honesty, integrity and high ethics is as important to us as our reputation for making innovative sensing solutions.
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