Principal Auditor

SEFTON METROPOLITAN BOROUGH COUNCIL
JOB DESCRIPTON

Department: Corporate Resources Location: Magdalen House

Section: Risk and Audit JE No. A4514

Post: Principal Auditor

Grade: J

Responsible to: Audit Manager

Responsible for: None

JOB PURPOSE:

To undertake and deliver the audits assigned in the Council Annual Audit Plan. Assist the Audit Manager with the monitoring and control of Audits and where required supervision of staff. To undertake a full range of Audit services as required to achieve Internal Audit objectives.

MAIN DUTIES:

1. The Principal Auditor will assist the Audit Manager in the efficient planning, monitoring and control of all audit activity together with the supervision of staff within the Team.

2. Deputise for the Audit Manager in his/her absence.

3. To assist the Audit Manager in the preparation of Annual and Operational Audit Plans.

4. The Principal Auditor is directly responsible to the Audit Manager for carrying out and completing within allocated timescales, a wide range of Audit activities undertaken by the Team including systems audit review, risk audit review, regularity, probity audits, ICT audits and value for money exercises / reviews. Directing or conducting audits of more complex or specialised audit work.

5. As directed by the Audit Manager, to carry out fraud or other special investigations, and/or other ad-hoc exercises/projects.

6. Be aware of and continually assess the risks arising from areas of audit review, advise Audit Manager and report to Departmental Managers as appropriate.

7. To assist the Audit Manager to undertake reviews of the internal control environment comprising risk management, control and governance.

8. Provide advice on sound procedures and controls for financial/other systems and on the Councils financial procedure rules and other regulatory codes/guidelines to officers at all levels within the Council.

9. Develop, compile and review audit programmes, systems records and other such Audit documentation to ensure all areas of Audit work are carried out effectively.

10. Maintain good working relationships with service department officers.

11. Communicate effectively with Audit clients, providing good quality correspondence and Audit Reports which are positive and constructive as well as take the clients views and resources into account. Ensure all significant recommendations are progressed.

12. As directed by the Audit Manager, to develop and use modern audit techniques.

13. Attend at Disciplinary Hearings, Appeals, Court and Tribunal Cases, give evidence and/or represent the Internal Audit Section as required.

14. Maintain lines of communication with officers of all Council Departments.

15. To assist the Audit Manager in the review of Council activities, with particular reference to the identification of fraud, irregularities, extravagance, inefficient administration and poor value for money.

16. Contribute to service improvement and development of Internal Audit.

17. To assist in the internal training and development of skills of Internal Audit staff.

18. Every employee has a responsibility to ensure that their work complies with all statutory requirements and that they act within and comply with all the relevant Codes and Regulations of the Council.

19. Undertake such other duties as deemed appropriate by the Chief Internal Auditor and Audit Manager.

20. This job description is not intended to be prescriptive or exhaustive but is a framework outlining the main areas of responsibilities.

Organisation Structure:

GENERAL:

This job description is a representative document. Other reasonably similar duties may be allocated from time to time commensurate with the general character of the post and its grading.

All staff have a duty to take care of their own health and safety and that of others who may be affected by your actions at work. Staff must co-operate with employers and co-workers to help everyone meet their legal requirements.

The Authority has an approved equality policy in employment and copies are available to all employees. The post holder will be expected to comply with, observe and promote the equality policies of the Council.

Note: Where the post-holder is disabled, every effort will be made to support all necessary aids, adaptations or equipment to allow them to carry out all the duties of the job.

Since confidential information is involved with the duties of this post, the post-holder will be required to exercise discretion at all times and to observe relevant codes of practice and legislation in relation to data protection and personal information.

The post is customer facing therefore you must have the ability to fulfil all spoken aspects of the role with confidence through the medium of English.

Undertake, and participate in training, coaching and development activities, as appropriate.

The person appointed will be expected to work flexibly and the exact nature of the duties described above is subject to periodic review and is liable to change.

Prepared by: Jon Boden
Designation: Audit Manager
Date: 2 December 2021

PERSON SPECIFICATION

Post: Principal Auditor (Fixed Term) Post No. 004048

Department: Corporate Resources Division: Risk and Audit Service

Personal Attributes Required
(considerations)
Essential (E)
Or
Desirable (D)
Method of Assessment
(suggested)
QUALIFICATIONS/TRAINING
1. Qualified CCAB Accountant (preferably CIPFA) or Chartered IA.
2. Other relevant professional qualification.
3. Degree

D
D
D

AF/C
AF/C
AF/C
EXPERIENCE
1. Internal Audit experience at a senior level within a Local Authority, other public body or large organisation.
2. Experience of planning, undertaking and completing a wide range of complex Internal Audit Assignments.
3. Supervision of Staff
4. Completion of ICT audit assignments.

E

E

D
D

AF/I

AF/I

AF/I
AF/I

SKILLS/KNOWLEDGE/APTITUDES

1. Able to undertake a full range of audit reviews utilising different audit methodologies.
2. Able to undertake complex or more specialised Audit work.
3. Have a sound knowledge of Internal Audit principles, the Public Sector Internal Audit Standards and the ability to apply them.
4. Able to personally plan and manage audits in order to meet deadlines for completion of work allocated.
5. Able to communicate effectively with Audit clients at all levels and produce concise, accurate and timely written reports.
6. Able to work both individually and as part of a team.
7. Have an enquiring mind and ability to work logically and methodically.
8. Knowledge of challenges facing local government and Internal Audit in particular.
9. Able to use and understand a range of IT systems.
10. Able to be flexible, innovative and responsive to changes and developments in new techniques and approaches to audit.
11. Have knowledge and understanding of ICT auditing.

E

E
E

E

E

E
E

E

E
E

D

AF/I

AF/I
AF/I

AF/I

AF/I

AF/I
AF/I

AF/I

AF/I
AF/I

AF/I

Prepared by: Jon Boden
AF
= Application Form

I
= Interview
Date: 31 January 2024
T
= Test

P
= Presentation
C = Certificate

Placement until the 30 September for an enthusiastic and self-motivated individual with previous extensive experience of auditing within public sector. Will ideally be professionally qualified with a recognisable internal audit qualification CIPFA, CIA, CMIIA etc. Must have excellent communication skills and be able to work as part of a team and on their own with minimal supervision. Main responsibilities will include carrying out audits within the approved annual audit plan, from scoping of the audit, through risk identification, review of controls and testing and report writing.

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