SUMMARY DESCRIPTION: The Compliance Auditor is responsible for planning, performing, reporting, and following up on specific audit assignments under the guidance of the Director and Manager - Compliance Management. Such assignments are performed to assist in assessing the relative accuracy of information; effectiveness of internal controls and compliance with management instituted policies, procedures, and certain regulatory rules and regulations. Uses inquiry, observation and analytical review procedures to assess the accuracy and adequacy of financial information and the Company’s internal control structure. Assumes additional responsibilities as assigned.
- Assists with preparation of the annual risk assessment and annual audit plans.
- Performs the preliminary survey of operations, functions or activities and gathers information on key business risks.
- Applies analytical skills and knowledge of business practice to formulate appropriate solutions to problems.
- Serves as liaison for inquiries or concerns pertaining to records, reports, financial statements and management practices.
- Works with Director and independently in conducting interviews with Department heads, and reviews existing documentation to become familiar with departmental processes, methods and technologies.
- Evaluates and recommends decisions regarding document and audit procedure and protocol practices for continuous improvements.
- Assists in the establishment of functional report specifications.
- Assists in the preparation and/or supervises the organization of process documentation.
- Uses standard accounting techniques to obtain, analyze and appraise data, transactions and records as a basis for providing an objective opinion on the performance of the business activity and the effectiveness of key risk management activities.
- Reports results and makes recommendations to Manager based on audit compliance findings.
- Executes any follow up audit program work to validate the progress of implementation of recommendations and directions of Senior Leadership.
- Assists Director in establishing work plan with external auditors in order to allow external auditors to rely on internal compliance work papers.
- Prepares audit programs with defined scope and executes comprehensive audits in various operational and financial areas of the company.
- Actively participates in all audit planning, progress status and wrap-up meetings.
- Recommends corrective actions or business resolutions and follows up on corrective measures implementation.
- Prepares audit work papers that evidence completion of audit and form an adequate basis for the audit report.
- Prepares drafts of audit reports.
- Reviews transactions, documents, records, reports and accounting and operational methodologies for accuracy and adequacy.
- Establishes and maintains effective working relationships and partnerships across all business units, emphasizing Business Risk & Reporting’s functions within the company and its capacity to serve as a productive strategic partner.
- Develops and maintains external cooperative relationships with corporate business partners that enable and support performance strategies and organizational effectiveness.
EDUCATION: (Minimum formal education the job requires)
- Bachelor’s Degree in Business, Accounting or Finance, or the equivalent combination of education and experience
- Masters of Business Administration preferred
PREFERRED EXPERIENCE: (Minimum experience the job requires)
- 1-2 years experience in internal audit or equivalent experience in audit/assessment disciplines, external auditing, quality assurance, compliance, internal control and technical writing experience preferred
- Demonstrated high level of knowledge and proficiency with internal audit processes and protocols
- Demonstrated ability to work in a team environment
- 1-2 years experience preferably in restaurant industry
KNOWLEDGE: (Level of knowledge required to perform the job effectively)
- Proficiency in MS Office Word, Excel, Project, Visio, Outlook, PowerPoint
- Proficiency in JD Edwards preferred
- Intermediate professional or theoretical knowledge and fundamental concepts, practices and procedures of a particular field of specialization in the execution of assigned duties and responsibilities
- Elementary understanding of budgetary concepts and procedures
- Elementary understanding of departmental structure and policies with a basic understanding of the cross-functional structure and policies of Whataburger Restaurants LLC
- Elementary ability to delegate tasks and get work done through others
PROFESSIONAL CERTIFICATION: (Certificate requirement appropriate to position)
- Certified Public Accountant (CPA) preferred
- Certified Internal Auditor (CIA) preferred