Compliance Auditor
November 22
Description
• Assists with the assessment of compliance risks and controls, and compliance policies and procedures. • Conducts compliance audits to assess the adequacy of compliance with internal controls, applicable regulations, laws, and standard operating procedures. • Assists with the development of the annual Compliance Audit Plan. • Maintains policies and procedures for the general operation of the Compliance Program to prevent illegal, unethical and/or improper conduct. • Manages, plans, supervises and/or conducts scheduled and non-scheduled compliance audits according to the audit plan while testing compliance with all pertinent federal, state and local regulations and standards. • Develops audit programs to identify areas of risk to be addressed, and detail the steps to be taken. • Evaluates the areas of risk to be addressed by each audit. • Tests the system of internal controls. • Reviews compliance with existing policies and procedures by performing the required audit steps. • Examines data for proper documentation in auditing billing groups, clinics and other businesses. • Prepares and/or reviews audit reports based on audit findings derived from and supported by the audit work papers. • Documents procedures and findings in all the test areas. • Provides recommendations requiring management responses to address the identified findings. • Conducts audit exit meetings to review audit report findings. • Discusses findings with local management (i.e. people audited) and other affected management. • Discusses possible management responses to ensure management understands the implications of the findings so that they can respond appropriately. • Assists with the research and resolution of issues and answer questions related to the audit findings. • Makes recommendations for process improvements as needed. • Reviews management responses to determine if recommendations have been satisfactorily addressed. • Addresses responses requiring further clarification. • Coordinates with other audit departments throughout the company to eliminate duplication of audit efforts. • Supports Compliance Officers with creating self-monitors and the validation of the testing results. • Serves as resource to the Compliance Officers. • Works on problems of diverse scope where analysis of data requires evaluation of identifiable factors. • Demonstrates good judgement in selecting methods and techniques for obtaining solutions. • Participates in professional conferences, to maintain up-to-date knowledge of compliance/audit/regulatory rules, regulations, priorities and tools. • Provides assistance to junior level staff with general tasks that require a better understanding of functions, as directed by immediate supervisor. • Assists with day-to-day supervision of staff auditors. • May refer to senior level staff for assistance with higher level problems that may arise. • Escalates issues to supervisor/manager for resolution, as deemed necessary. • Reviews and complies with the Code of Business Conduct and all applicable company policies and procedures, local, state and federal laws and regulations. • Receives little instruction on day-to-day work, general instructions on new assignments. • Other duties as assigned, including department wide projects. • Up to 20% travel required.
Requirements
• 6 - 12 years' related experience • Previous experience in regulatory/compliance audits preferred. • Knowledge of statistical auditing methods • Superior ability to communicate orally and in writing to individuals and groups from varied disciplines and levels of management. • Excellent analytical, problem solving, organizational skills required. • Personal tenacity, team leadership skills and the ability to foster change. • Strong computer skills with proficiency in Microsoft Office applications.
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