Senior internal auditor vs compliance auditor

Differences between senior internal auditor and compliance auditor duties and responsibilities

Senior internal auditor example responsibilities.

• Schedule, plan, conduct fieldwork and report writing of audits using a COSO base audit methodology managing staff on audits.
• Manage and coordinate annual external business evaluation in conjunction with CPA consultants.
• Conduct audit reviews, document business processes, and evaluate internal controls base on Sarbanes-Oxley good governance standards and policies.
• Execute or review Sarbanes-Oxley internal controls testing for various business processes and evaluate business systems to determine their efficiency and effectiveness
• Enhance work paper standards according to IIA framework.
• Confirm that internal controls are properly map to financial statement assertions to ensure that all COSO assertions are met.
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Compliance auditor example responsibilities.

• Work with department analyst to create measurement tools and methods for communicating results and managing QA analysis in compiling/reporting results.
• Identify any issues that do not conform to CFR, ICH guidelines and corporate expectations.
• Research HIPAA information from CMS website in order to determine correct revisions for policies and procedures and develop company-wide communications.
• Coordinate team meetings, maintain calendars, support team with PowerPoint presentations.
• Prepare and perform in-house presentations (both in person and using JoinMe) using PowerPoint.
• Evaluate the level of compliance with company policy, GAAP, contract requirements and applicable rules and regulations.
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