fixed term auditor and senior financial auditor employment register potx

STATEMENT OF DUTIES POSITION: Financial Auditor VACANCY: Generic REPORTS TO: Manager Financial Audits LOCATION: Hobart CLASSIFICATION LEVEL: Tasmanian State Service Award Professional Stream Band 1 EMPLOYMENT STATUS: Fixed Term Full Time PURPOSE OF POSITION: The Financial Audit business unit delivers the Office’s statutory financial audit program. This results in the issue of audit opinions, Management Letters and reports to Parliament analysing financial results and audit findings aimed at providing Parliament with independent advice and recommendations on the performance of the Tasmanian Public Sector (including local government) and State–Owned entities. This position’s purpose is to perform allocated audit tasks to gather adequate evidence to enable a valid opinion to be formed on the financial reports of client organisations and makes recommendations for improvements while minimising costs and risks. MANAGEMENT AND CONDUCT OF FINANCIAL AUDITS The matrix below sets out the general approach taken with regard to the responsibilities of different levels of audit staff within the Financial Audit Business Unit. This position is highlighted (bold and in larger font) in the matrix. It should be noted that this matrix represents a general rule only and that, in reality, variations may occur due to staff shortages or absences, staff development or other reasons. However, it is provided to place this Statement of Duties in context. The Engagement Leader is the primary contact of the audits specified. The Team Leader is the person responsible for the day to day management of audits specified. This is trial version www.adultpdf.com Nature of Audit Client Person who signs Audit Report ( under delegation) Engagement Leader Team Leader Audit Staff Key Accounts Auditor-General Director Financial Audit Services Manager Financial Audits Principal Financial Auditor Senior Financial Auditor Financial Auditor Graduate Financial Auditor Cadet Financial Auditor High Risk General Manager Financial Audit Services Manager Financial Audits Principal Financial Auditor Senior Financial Auditor (limited) Senior Financial Auditor Financial Auditor Graduate Financial Auditor Cadet Financial Auditor Medium Risk Director Financial Audit Services Principal Financial Auditor Senior Financial Auditor (limited) Senior Financial Auditor Financial Auditor Senior Financial Auditor Financial Auditor Graduate Financial Auditor Cadet Financial Auditor Low Risk Manager Financial Audits Principal Financial Auditor Senior Financial Auditor Financial Auditor Financial Auditor Graduate Financial Auditor Cadet Financial Auditor Financial Auditor Graduate Financial Auditor Cadet Financial Auditor ________________________________________________________________________________ This is trial version www.adultpdf.com NATURE AND SCOPE This position works with business unit management in the conduct of audits. The role has a heavy operational focus which involves establishing and maintaining relationships with clients to facilitate and expedite access to relevant information. While audits are usually conducted under the guidance of more senior professionals, the position requires the application of financial and audit knowledge and experience to conduct smaller, less complex, audits themselves. The position may be required to fulfil the role of team leader on some audits, generally those of low risk. The number of clients dealt with requires knowledge of (and the ability to interpret) a range of existing and developing accounting standards and legislation and of client activities and systems. The position is largely directed on when audit tasks (or smaller audits) are performed but there is discretion on how the tasks are performed. The position is held accountable for adhering to budgets and schedules. Material developed by the position (eg. reports and recommendations) is reviewed by more senior people within the business unit. This position assists less experienced audit personnel. ________________________________________________________________________________ KEY RESPONSIBILITIES: 1. Contributes to the planning of audits and obtains preliminary information from clients to gain an appreciation of what may be involved in the audit. 2. Under supervision, performs allocated audit tasks in accordance with the audit plan, time deadlines and Office and professional standards. 3. Interprets accounting standards and practices and how these are applied by clients. 4. Liaises with client agencies and maintains effective relationships with staff in client agencies and external stakeholders. 5. In consultation with clients, prepares drafts for the Auditor-General’s Report to Parliament. 6. Where appropriate, assists less experienced audit staff to complete their allocated tasks within quality, time and cost requirements. 7. Conducts some low risk audits or other audits as assigned and manages these within time, cost and quality parameters. 8. Drafts correspondence and reports and makes recommendations about opinions for smaller audits. 9. Maintains working papers (in accordance with Office and unit policy) to record evidence of examinations. Performance is measured against Key Performance Indicators that are developed and agreed to for each role in the Office. KEY COMPETENCIES (Selection Criteria) 1. Effective Customer Interaction (Weighting 15) Adapting personal style to suit different customers and promptly and effectively responding to their needs. Where appropriate, initiating and maintaining contact with customers and anticipating issues that may arise. 2. Cooperates & Articulates (Weighting 15) Cooperating with people in the workplace and contributing to team activities. Clearly, positively and convincingly conveying information, written and verbal form. 3. Self Development and Responsibility for Actions (Weighting 15) As a result of seeking out and utilising learning opportunities, taking new and unique concepts, strategies and approaches and applying them for positive results. Accepting responsibility for This is trial version www.adultpdf.com identifying and addressing personal development needs and ensuring that dealings with other people show courtesy, respect and an awareness of individual differences. 4. Problem Solving & Analysis (Weighting 20) Identifying key issues in a problem, selecting or conducting appropriate research, analysis and evaluation and adapting or developing methodology to achieve this. Knowing when to refer a problem elsewhere. 5. Adapts to Change (Weighting 15) Demonstrating flexibility by changing plans, approach and focus to effectively respond to changed circumstances in terms of new ideas and ways of working. 6. Organising (Weighting 10) Setting short and medium term targets, priorities and schedules to meet business goals and planning, organising and coordinating resources to meet them. 7. Understanding & Application of Technical Knowledge (Professional) (Weighting 20) Applying strong technical skills to critically evaluate and comment on relevant information and issues. Identifying key issues, trends and inconsistencies and their implications for the business. ESSENTIAL QUALIFICATIONS: A tertiary qualification at degree level in a relevant discipline from a recognised tertiary institution. ESSENTIAL REQUIREMENTS: None. It should be noted that the above key competencies have been weighted for assessment purposes as indicated. The essential qualifications and requirements must be met. You should not be discouraged from applying if you do not meet the following desirable requirements, as you would not be precluded from appointment to the position, provided all of the above key competencies and essential requirements are met. CRITERIA FOR ADVANCEMENT ASSESSMENT POINT: Criteria – Passed the “Audit” module of CPA Australia or equivalent professional accounting/auditing body and attained a high rating with respect to competencies, values and key performance indicators related to this position. On the attainment of the criteria for the advancement assessment point and the essential requirements for the Senior Financial Auditor the employee assigned these duties will be promoted to Senior Financial Auditor – Tasmanian State Service Award Professional Stream Band 2. DESIRABLE REQUIREMENTS: This is trial version www.adultpdf.com  Driver’s Licence SPECIAL REQUIREMENTS:  Significant out of hours work may be required during the Audit report period (ie. July to October) and some work outside normal hours may be required at other times.  Generally, periods of leave will not be granted between July and October.  May be required to undertake intrastate/interstate travel.  May be assigned to other locations within the Office to perform work of a similar nature POSITIONS REPORTING TO THIS POSITION: While no formal reporting relationship exists, this position provides day to day leadership, guidance and work allocation (as engagement leader or team leader) to Audit Cadets and other staff. ENVIRONMENT AND CONTEXT: The Vision of the Tasmanian Audit Office (TAO) is “Strive | Lead | Excel | To Make A Difference” and the Purpose of TAO is to provide independent assurance to the Parliament and Community on the performance and accountability of the Tasmanian Public Sector. Underpinning the Office’s Vision and Purpose Statements are a set of Values and associated Behaviours that influence the way we make decisions and do our work. These values and behaviours have been developed by our staff: Professionalism – How we go about our work – “At all times we act with integrity and independence, are ethical, knowledgeable, transparent and work to the highest standards”. Respect – How we treat others and expect to be treated – “Be civil, courteous, value others and be valued”. Customer Focus – How we deliver our services – “We will understand our customer’s needs, honour our commitments, build long-term relationships and foster good communication”. Camaraderie – How we work together – “Positive environment through teamwork, support and good working relationships”. Continuous Improvement – How we move forward and work better – “Improving efficiency and effectiveness of everything we do through innovation, learning and development”. Employment in the State Service is covered by the State Service Act 2000 and employment decisions must be based on merit. A decision relating to appointment or promotion is based on merit if:  an assessment is made of the relative suitably of the candidates for the duties; and  the assessment is based on the relationship between the candidates’ work-related qualities and the work related qualities genuinely required for the performance of the duties; and This is trial version www.adultpdf.com  the assessment focuses on the relative capacity of the candidates to achieve outcomes related to the duties; and  the assessment is the primary consideration in making the decision. Work-related qualities might include: skills and capabilities; qualifications and professional development; competencies and behaviours; standard of work performance; capacity to produce required outcomes and relevant personal qualities such as motivational fit. Heads of Agency are required to uphold, promote and comply with State Service Principles that are set out on Section (7) of the State Service Act 2000 and, as set out in the State Service Code of Conduct (State Service Act 2000 Section 9) employees are required to behave in accordance with these principles. In addition, employees of the Tasmanian Audit Office are required to act in accordance with the Code of Conduct, Code of Ethics and Statement of Values of the TAO and sign an agreement indicating that they understand this requirement. TAO promotes equity in employment. It provides workplaces that are free from discrimination and it recognises and utilises the diversity of the community it serves. In doing this it acknowledges the individual differences that can contribute to the capacity of a person to perform the inherent requirements of the job. TAO is committed to high standards of Occupational Health and Safety and all employees are expected to maintain safe working conditions and practices. Smoking is prohibited in State Government workplaces and vehicles. Employees can expect to work extensively with information management systems and screen based equipment. This is to be done in accordance with the TAO Privacy and Information Management policies. Prepared by: David Strong Title: General Manager – Strategy and Governance Date: 16 April 2009 Statement of Duties Approved by: Mike Blake Title: Auditor-General Date: 17 April 2009 Classification Approved by: Mike Blake Title: Auditor-General Date: 17 April 2009 This is trial version www.adultpdf.com . Principal Financial Auditor Senior Financial Auditor Financial Auditor Financial Auditor Graduate Financial Auditor Cadet Financial Auditor Financial Auditor Graduate Financial. (limited) Senior Financial Auditor Financial Auditor Senior Financial Auditor Financial Auditor Graduate Financial Auditor Cadet Financial Auditor Low Risk Manager Financial. Auditor Financial Auditor Graduate Financial Auditor Cadet Financial Auditor Medium Risk Director Financial Audit Services Principal Financial Auditor Senior Financial Auditor