Job Requisition Number: 25487. The Director of Audit, Risk, & Advisory Services, and Investigation manages Audit and Advisory Services, Risk Services, and the Investigations unit for the Berkeley campus. The Director serves as principal advisor on the Berkeley Campus on audit matters, supervises and coordinates the loss prevention and management activities and programs through the Risk Services unit, and is responsible for ensuring appropriate and prompt response to all issues raised to the Investigations unit through the campus whistleblower program. The position functions with maximum independence in overseeing programs with departmental budgets of over $ 2.1 million. However, the impact and influence of this role is campus-wide.
The position is part of the Office of the Chancellor, which provides administrative, organizational, strategic, and compliance services to advance the Chancellor’s vision, core values, and priorities.
•Plan and carry out a comprehensive program of internal auditing for the Berkeley Campus, a program that provides assurance and advisory services to over 400 departments and activities with annual revenues of over $1.6 billion. •Determine departmental policy and adherence to professional standards. Develop and maintain procedures to assure compliance with auditing standards, documentation standards, reporting, review, and other technical standards for the department as a means of quality control. Advises departments on the implementation of appropriate control improvements, and coordinates the dissemination of best practices. •Coordinate the internal audit activities of the Berkeley Campus. Coordinate and report on significant audit issues and functions to the Chancellor and the Chancellor’s Cabinet. Develop formal reporting system to communicate results of audit activities to campus management and Office of the President. •Report audit observations and recommend risk mitigation actions to senior management, and UCOP Ethics, Compliance and Audit Services Office. Execute follow up activities to assure observed risks are mitigated in a timely manner through management’s agreed upon corrective action plans. •Counsel the campus leadership on a variety of control, risk management, compliance, and governance issues which serve as the basis for decision making. Work on complex strategic and operational issues where analysis of situations, business operations and data requires an in-depth knowledge of the campus. Serves on campus committees to advise on control, risk management, compliance, and governance issues, (e.g. Policy Advisory Group, Investigations Workgroup, Compliances and Ethics Committee, Emergency Operations Center Finance and Administration Section backup chief). •Responsible for strategic planning, design, and development of a campus-wide system of enterprise risk management. Specifically responsible for the following: •Developing a campus risk management philosophy, and a culture that promotes compliance with senior management’s risk appetite, allowing managers to effectively manage risks within their spheres of responsibility. •Developing a campus environment in which risk assessment and risk management (mitigation) are integrated into all business practices and decision-making activities. •Articulating campus philosophy regarding risk management, risk appetite, and risk tolerances. •Providing a portfolio view of risks across Administration and ultimately across the campus (e.g. financial, environmental, research non-compliance, workplace disagreements and injuries, claims and lawsuits, and new and emerging risks). •Assisting the campus and individual units to identify and assess risks, develop action plans to mitigate the identified risks, and monitor the risks identified on an ongoing basis to ensure management’s risk responses are carried out effectively. •Developing measures for monitoring key risks and communicate findings to responsible executives. •Establishing and maintain a campus communications structure / support network to support the University’s risk management philosophy. •Ensuring the effective administration of a variety of insurance programs, litigation coordination between campus departments, administrators, and outside counsel, campus business partners, entertainment and research contract review, and loss prevention activities. •Leading annual risk assessment process in order to identify, prioritize, and evaluate risks with broad campus impact, using subcommittees as needed to study the risks and make recommendations. •Monitoring the campus response to prioritized risks using appropriate risk intelligence tools. •Direct, and in some cases conduct, sensitive investigations and special projects which require interaction at the highest level of the University, demanding extreme confidentiality and sound judgment. Communicate the results of investigations which may be the basis for disciplinary action, criminal prosecution, and restitution. Report audit and investigation results to the highest levels of the campus administration and the Office of the President. Cooperate with law enforcement and other external agencies in their independent examinations of alleged criminal activities and/or regulatory violations. Support the locally designated official for whistle blowing activities in triaging allegations of improper governmental acts. •Support the system and campus compliance program through audit and advisory services.•Technical accounting skills, attention to detail and ability to correlate seemingly unrelated facts. Strong auditing expertise demonstrated by broad knowledge of modern information systems as well as state-of-the-art principles of auditing, accounting, and investigatory techniques. •Strong audit, advisory and collaboration skills demonstrated by a strong orientation and people focus resulting in sensitivity to the impact of recommendations and conclusions resulting from audits, investigations and advisory services as well as a commitment to ongoing communication and outreach to clients; also demonstrated by the ability to resolve complex problems and issues through identification of creative, yet policy compliant, solutions. •Political acumen skills demonstrated by the ability to, in challenging situations, successfully build consensus with calm and 'grace under fire’ while effectively exercising assertiveness as needed; also demonstrated by the ability to develop positive relationships, interacting comfortably and effectively, and appropriately managing expectations, with a wide range of diverse people including Regents, senior university officers, faculty, staff and students. Excellent judgment demonstrated by superb risk evaluation resulting in the ability to prioritize competing demands; the ability to strategically, and with flexibility, deploy resources; the ability to analyze highly complex and sensitive situations and discern appropriate courses of action. •Risk, audit, and/or investigation function management expertise demonstrated by prior experience managing these functions in a higher education or comparably complex environment, including experience in audits of alleged irregularities, misconduct and misuse of funds. •Leadership demonstrated by the ability to effectively provide vision, direction and credibility to high profile, integrity driven departments. •Outstanding ethics demonstrated by uncompromising commitment to integrity; willingness and ability to confront highly sensitive issues at very senior levels, and the ability to maintain objectivity. •Exceptional skills demonstrated by the ability to verbally communicate the results of audits, advisory services, and investigations to a wide range of diverse audiences; and the ability to produce professional audit, advisory and investigatory services reports. •Expert level analytical skills to synthesize ambiguous and/or interfacing policies and information. •Knowledge and experience in the utilization of automated work papers; demonstrated knowledge and experience extracting, manipulating, and evaluating information from information management systems; the ability to effectively evaluate and determine adequacy controls with regard to policies and procedures and general operating practices; and the ability to advise management on implementing changes to operational and strategic plans. •Advanced degree preferred. •CPA, Certified Internal Auditor or equivalent preferred.
The University of California was chartered in 1868 and its flagship campus - envisioned as a "City of Learning" - was established at Berkeley, on San Francisco Bay. Today the world's premier public university and a wellspring of innovation, UC Berkeley occupies a 1,232 acre campus with a sylvan 178-acre central core. From this home its academic community makes key contributions to the economic and social well-being of the Bay Area, California, and the nation.