Purpose of the role:
The Senior Internal Auditor supervises and ensures that the project runs efficiently and profitably from inception to sign-off by managing all the relevant stakeholders in accordance with the Firm's policies and procedures and IIA Standards. The Senior Internal Auditor will ensure a high standard quality of deliverables to clients is maintained and all project deadlines for self and subordinates are adhered to.
The Key outcomes of this role are:
People:
Staff Development (training and performance management)
Staff relationships
Values (REACT)
Client:
Client Relationships (NPS)
Internal Audit Plan Development
Audit Committee Submission
Processes & Quality:
Internal Audit project coordination and supervision (deadlines)
Delivering high standard deliverables on time
Pentana (Planning / execution / reporting)
Quality Assurance (review of team work and clearing manager notes)
Project Planning
Planning processes:
Drafting of Scope Letter.
Issuing of document requests (RFI) and gathering of relevant information.
Review and finalise the process walkthrough (system descriptions)
Selection of samples as per the sample methology.
Update of staff planner.
Audit Work Programme
Finalise a detailed Risk & Control Matrix for the process under review, in conjunction with the AM/M.
Ensure that each risk identified is aligned to a control and audit procedure.
Document the Risk and Control Matrix on Pentana, with minimal review notes by AM/M/SM.
Assist in allocation of audit procedures to the execution team
Execution
Executing allocated audit procedures as per approved Risk and Control
Matrix (complex procedures - no more than 25% in general. Percentage may differ in consulting projects).
Finalising findings with relevant process owners to confirm factual correctness, including the root cause and recommendations.
Complete execution within allocated time/cost budget and communicate challenges, overruns and issues in advance. Assists and guides IA/JIA.
Client Management
Assist with overall client management functions in conjunction with AM/M/SM:
Liaison with client.- Preparation of draft ARC/management reports.
Client plan management.
Quality and process
Execution
Review working papers and findings of IA/JIA with constructive coaching notes, in line with IIA Standards.
Project Administration (Time & Attendance)
Daily completion of timesheets and disbursement claims for inclusion in WIP
Monitoring of project Budget/WIP on a daily basis.
Remaining within the allocated hours and / or communicating overruns with The Manager/Senior Manager & Director.
Commence and finalize allocated work within specified timeframes, as per resource planner and agreed upon with Manager or Director.
Team Evaluations
Timely completion of own Project Performance Appraisal document (within 7 days after completion of the audit report).
Timely review of the IA/JIA's Performance Appraisal (within 7 days after receipt of from the JIA).
Declaration of interest
Signed declaration of interest for the client (Internal Document)
Ensure that the audit team has completed and signed the declaration of interest forms.
Quality
Ensure that audit work and draft findings are adequately documented and substantiated with audit evidence on Pentana.
All items on Pentana have been reviewed and signed off.
Update and ensure the engagement file is ready for review on Pentana.
Reporting
Finalising findings with relevant process owners to confirm factual correctness, including the draft root cause, effects and recommendations.
Development of a full draft report for management finalisation.
Communication
Communicate with the AM/M/SM in a timely manner on progress of work and any challenges being experienced.
Communicated with the team in relation to the project.
Timely communication with the client.
People Development, Learning and Growth
CIA Certification
Pass two out of three parts of the CIA exams
Generic Factors:
Flexibility
Reliability
Acceptance of Responsibility
Able to perform work and deliver without constant supervision/guidance.
Shows commitment to the client, engagements and BDO.
Constantly accepts responsibility in a competent manner.
Can be relied upon to accept responsibility in respect of other employees in their absence when requested to do so.
Requires minimal level of supervision and coaching.
Training and Development
Keeps abreast of work related developments.
Attendance of at least 85% of training interventions.
Maintains or improves Skills Matrix rating to 85%.
Maintains CPE hours & reporting (if certified).
Peer Assessment
Obtain a minimum score of 75% in the 360-degree assessments
Interpersonal skills and Teamwork
Co-operates well with supervisors, colleagues and those supervised.
Is polite and respectful of others. Demonstrates a sound and healthy attitude when interacting with others.
Able to influence and communicate well as part of a team. Works to achieve team objectives.
Requires normal level of supervision and guidance.
Qualifications
Four year qualification in Internal Audit /B.Com Honours Internal Audit /or
Informatics /or Computer Science
CIA/CISA/CFE
Experience
Minimum 4 years working experience of
Internal / IT Auditing:
3 years trainee
1 year supervisory level in IA/IT Auditing
Training
For Internal Audit - COSO, IDEA, Pentana
For IT Audit - ITIL, IDEA,COBIT
For Forensics - IDEA
Adequate Knowledge Base - King IV
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