Manager, Financial Compliance (Sponsored Programs Financial Compliance & Audit

Overview

PAY GRADE: 32E

CONTEXT OF THE JOB:

Under the direction of the Associate Vice President, Research Administration, the Manager, Sponsored Programs Financial Compliance & Audit will design, conduct and coordinate financial, operational and compliance reviews of sponsored program effort reporting and post-award activities.  This position will lead efforts to increase compliance to University, federal, state and industry research standards through routine monitoring of financial and other post-award data.

General responsibilities include managing the university’s effort reporting process and overseeing an effective audit function within the University Research Administration Office, ensuring the University’s sponsored programs’ compliance with 2 CFR 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for federal awards, relevant program-specific compliance requirements and university policies and procedures.

MAJOR RESPONISBILITIES:

• Identify and perform risk assessments of sponsored program post-award activities:
  • Coordinate within the Research Administration Office and other University personnel as needed, including the University’s Internal Audit.
  • Conduct independent audit fieldwork, within budget and at times off-site, in accordance with Research Administration standards.
  • Draft clear and actionable audit summary reports to summarize risk assessment findings and recommend any required corrective actions.
  • Based upon risk assessments, develop, implement, and oversee the execution of monitoring programs and metrics to test for post-award compliance with university and sponsor regulations.
  • Conduct follow-up reviews to ensure any agreed-upon corrective actions have been successfully implemented by the responsible parties.
  • Develop and conduct other monitoring mechanisms to ensure compliance of new, emerging or other University-wide post-award administration areas.
  • Sample activities to be conducted per the above guidelines include:
    • Testing of Chart of Account data, sponsored program attributes, and associated accounting and system processes to ensure accurate reporting.
    • Analysis and reconciliation of subledgers to the general ledger to identify and address discrepancies.
    • Analysis of historical financial data to support clean-up efforts.
    • Develop and conduct effort and personnel-related audits based upon risks and other identified areas of non-compliance.
    • Develop and conduct desk audits on high-risk subrecipients in coordination within Research Administration, or high-profile award activities and expenditures, to ensure compliance with applicable regulations.Assist sub-recipients with resolution of financial noncompliance.
• Supervise the activities of the effort reporting process and assigned staff:
  • Develop, interpret and enforce UD policies and federal regulations regarding effort/labor compliance.
  • Develop and educate the campus community on federal and UD requirements for time and effort reporting.
  • Address process issues as they arise to ensure effort reporting is completed timely and accurately.
  • Manage the effort certification system in its entirety including technical, data, training, and testing elements.
  • Serve as a liaison with IT to troubleshoot, support and/or enhance the effort certification system.
  • Maintain complete and current understanding of data generated through multiple university systems, such as: UD time, Labor Allocation Module and PeopleSoft HR, Payroll and Grant Managements Systems.
  • Identify and implement opportunities to improve the effectiveness of the university’s effort reporting process.
  • Create, design and refine effort certification metrics for Research Administration Office.
• Provide oversight and controls over the sponsored program cost transfers process and financial transactions, especially for late cost transfers or high-risk expenditures.
• Support subrecipient monitoring efforts in coordination within the Research Administration Office, including the collection and review of subaward single audits.
• Assist in developing, updating and disseminating the university’s sponsored programs policies and procedures to achieve compliance with governing requirements.
  • Stay current on regulatory and issues related to post-award sponsored program management.
  • Maintain an advanced knowledge and understanding of federal cost principles, single-audit, and UG guidelines by attending professional development opportunities, and advise management of needed actions to comply.
  • Develop, update and maintain Standards of Procedures (SOPs) for internal post-award processes. These would be web-based and available to all Research Administration personnel to serve as a central resource repository, which may also be used for audit requests.
  • Recommend, draft and/or update internal/external policies and procedures to strengthen University compliance, in coordination with senior management.
  • Work with personnel in the Research Administration Office, other central administrative offices, and the various departmental colleges and centers as needed for development.
  • Develop and deliver training for the university community to facilitate understanding and complying with federal, state, university and/or sponsor requirements.
• Perform miscellaneous job-related duties as assigned.

 QUALIFICATIONS:

• Bachelor’s degree and five years of related experience, or equivalent combination of education and experience. Experience in higher education or research-intensive institution preferred. Degree in finance, accounting, business administration or other job-related discipline preferred.
• Advanced knowledge of OMB Circulars A-21, A-110, A-133, 2 CFR 200, governmental accounting and cost principles and other pertinent external regulations and management relating with effort certification in a federally funded environment.
• Effective oral and written communications and organizational skills.Able to make effective presentations to groups.
• CPA, CIA or comparable certification preferred.
• Advanced knowledge of and familiarity with internal controls over research activities
• Advance knowledge of financial audit requirements and audit reporting.
• Internal Audit, ERM or compliance audit experience in an Institution of Higher Education or research lab/institution desirable.
• Strong analytical skills and aptitude for understanding complex systems.

• Ability to use advanced techniques in word processing, spreadsheet, database, presentation software, and enterprise systems is essential.
• Demonstrated customer service skills, and ability to meet multiple deadlines.
• Project management skills and the ability to resolve complex problems and issues.
• Ability to develop and present educational programs and/or workshops.
• Knowledge of PeopleSoft grants management, HR, Payroll and accounting modules preferred.
• Ability to interact well with people of all ages and diverse backgrounds.

Applications close: Open until filled