Senior Audit and Assurance Specialist

Job overview

Undertake audit work and prepare audit reports in line with internal audit’s statutory responsibility to independently and objectively review, evaluate and report on the adequacy of clients’ systems of internal control.

To support the Senior Audit and Assurance Manager, in the delivery of the internal audit service to organisations within ASW Assurance by:

• Performing a large range of audit assignments of a complex/ad-hoc and non-financial nature in addition to a broad range of routine financial, governance and operational audit assignments in line with Public Sector Internal Audit Standards and the ASW Assurance Audit Manual, to agreed timescales. This may be based upon an overall generic supervisory and support role or acting as a Consortium expert lead for a defined specialist area.
• Taking extensive responsibility for the operational audit management of substantial allocated elements of client audit plans in support of the Senior Audit and Assurance Manager’s overall responsibility to deliver all client operational audit plans.
• Applying risk management and assurance principles to the planning and delivery of audit assignments.
• Supervising and coaching junior audit staff.
• Responding to a broad range of requests for advice and assistance and queries from clients including sensitive, confidential and complex issues from all levels of client staff.

• Contribute to the delivery of ASW Assurance’s Business Plan.
• Ensure the delivery of client operational internal audit plans.
• Ensure assignments, including those where the post holder is supervising junior staff and/or where post holder has responsibility for substantial elements of the operational audit plans, conform to the expectations of the quality standards and professional expectations (e.g. duty of care, independence etc.) as stated in the Public Internal Audit Standards, ASW Assurance Audit Manual and NHS Managers Code of Conduct.
• Ensure that assignments, including those where the post holder is supervising junior staff and/or where post holder has responsibility for substantial elements of the operational audit plans, are completed within timescales as stated in the operational audit plan of the client/agreed with the Senior Audit and Assurance Manager.
• Achieve personal and business-related objectives and targets set as part of the annual appraisal process and documented in the agreed personal development plan.
• Undertake any training required in order to maintain competency, including mandatory training.
• Ensure an understanding of the client’s business activities is maintained and to keep abreast of current issues within the NHS and internal audit profession.
• Contribute to and work within a safe working environment.

Working for our organisation

Why Work With Us

ASW Assurance is a leading not for profit NHS consortium, delivering internal audit, counter fraud and consultancy services to healthcare organisations including acute, mental health and foundation trusts, Integrated Care Boards (ICBs) and social enterprises.

We do not simply deliver an internal audit and counter fraud service; we are dedicated to delivering quality and safe patient care, providing a cost-effective service with the benefit of a locally highly skilled, flexible and responsive workforce.

• Take the lead responsibility for supporting the Senior Audit and Assurance Manager, as appropriate, on the delivery of the operational internal audit plan to clients.
• Contribute to the annual operational planning process including the client’s strategic and operational internal audit plan within a structured framework ensuring client delivery of service as determined by the Senior Audit and Assurance Manager.
• Act as the Lead Auditor, to perform all elements of risk-based audit assignments over a broad range of internal audit assignments (in line with the audit process as set out in the ASW Assurance Audit Manual), including high risk and high visibility audit reviews of complex/ad hoc and non-financial nature across a number of clients as directed by the Senior Audit and Assurance Manager, as appropriate.
• Supervise, coach and support junior audit staff on designated audits/elements of client audit plans as directed by the Senior Audit and Assurance Manager, as appropriate. To include scheduling, planning and monitoring of audit assignments.
• Obtain information and data from a range of client systems and through interviews with key client staff and perform detailed analysis of the data to inform judgments on adequacy of systems of internal control. To produce and/or review relevant and adequate draft and final audit reports for reporting to client senior management, Directors and Audit Committees to ensure they meet ASW Assurance quality standards incorporating an audit opinion and practicable recommendations to address risk issues and control weaknesses, for review by the Senior Audit and Assurance Manager, as appropriate.
• Ensure that information obtained during the course of audits is robust in order to analyse and make sound judgements on risk issues and design of systems of internal control the client has introduced to manage risk.
• Plan own workload, and those of junior audit staff on designated audits/elements of client audit plans, to ensure that assignments are completed to timescales set out in the client’s internal audit operational plan as agreed by the Senior Audit and Assurance Manager, as appropriate. The post holder will be expected to run a number of audit assignments concurrently to ensure the most effective and efficient use of time and resources.
• Persuade and negotiate the reasoning behind contentious recommendations with senior staff across a range of disciplines and arrive at an agreed position and action plan. These reports will support the annual Head of Internal Audit Opinion/Annual Governance Statement.
• Ensure that key ASW Assurance database tools and performance management systems are maintained up to date in own areas of responsibility (e.g. timesheets/audit report register).
• Assist and/or provide to the Senior Audit and Assurance Manager, as appropriate, Audit Committee papers and updates as required for set client organisations.
• Undertake specific research into NHS operational areas (e.g. payment by results, clinical governance etc.) in accordance with the client’s internal audit operational plan in order to identify risk areas control objectives and expected controls. To use the results of research to develop appropriate audit procedures and approaches that can be applied across ASW Assurance clients.
• Regularly create, format and manipulate computerised applications as part of day to day audit duties.
• Contribute towards the development and promotion of the audit service through daily contact with client staff and other parties.
• Occasionally attend Audit Committee and risk management and other Committees/groups as required.
• Suggest changes to and implement audit policies and procedures in own area. Propose changes to, and redesign audit policies and procedures that impact other audit teams.
• Explore and discuss relevant audit issues with client staff from a range of disciplines up to and including Board level to elicit relevant information in the course of the audit assignment, sometimes in a challenging environment.
• Liaise closely, building effective working relationships with client staff at all levels and disciplines to facilitate and support the audit process.
• Persuade and negotiate the reasoning behind contentious recommendations with senior staff across a range of disciplines and arrive at an agreed position and action plan.
• Keep the Senior Audit and Assurance Manager appropriately briefed at all times to include significant issues on the work being undertaken along with performance problems.
• Liaise closely with colleagues in the audit team, in other ASW Assurance offices, with External Audit staff and Local Counter Fraud Specialists to ensure the most effective use of information, working arrangements and resources. This may involve joint working and shared assurance.
• Supervise and coach newer and less experienced colleagues in own work areas, as appropriate.
• Represent ASW Assurance at meetings, conferences, seminars, training courses etc.
• To occasionally present information in a formal setting to small groups of client and ASW Assurance staff.

Person specification

Knowledge

• Detailed, demonstrable and expert specialist knowledge of an aspect of NHS Governance or audit/sector specialism such that post holder is able to act as ASW Assurance lead for this area e.g. clinical governance, risk management, commissioning environment, contract/procurement audit

Experience

• Significant experience in governance, risk management and assurance matters.

Skills

• Well-developed verbal and written communication skills including report writing, negotiating, questioning and presentational skills

You will be joining the organisation at an exciting time. As the first fully integrated care organisation in England, we are working to improve the way we deliver safe, high-quality health and social care. We have a positive and vibrant working atmosphere, we are proud of our investment in our staff both in terms of developing potential career skills and valuing people.

If you provide support to a family member or friend with health or care needs, we aim to be a Carer-friendly employer. We have a ‘Staff Carers’ policy which includes flexible working where possible and a Carer’s Passport scheme that links you into support and discounts.

• We reserve the right to close vacancies early if we receive a high volume of applications. Please apply promptly
• Please read the job description and tailor your application to reflect the role
• Correspondence will be via Trac, text and email. Please check your email and Trac account regularly.
• Applicants with no previous NHS experience will ordinarily be appointed to the minimum of the band
• If you have not received an invitation to interview within 28 days of the closing date, please assume that your application has been unsuccessful on this occasion
• It is your responsibility to assist us in the timely receipt of appropriate references

If you require support you can obtain this from our Equality Business Forum which has representatives from all protected groups.