April 2011
ROLE PROFILE
Role Title / Audit Services ManagerPost Number / 50016255 / 50016254
Directorate / Resources
Section / Audit & Risk Management
Accountable to / Assistant Director Audit & Risk Management
Grade / 12
Purpose of job
To manage a service to deliver a high quality internal audit and consultancy service to internal and external customers (in line with internal quality standards, professional guidelines and best practice in Auditing and Fraud, whilst ensuring value for money), in order to contribute to and influence the overall operation of the councils activities and achievement of the councils objectives, strategic obligations and targets and ensure these are achieved in accordance with relevant good governance standards.
Key Objectives
1 / Develop and deliver the audit strategy in line with the Council’s priorities, risk register and to meet the Council’s Section 151 and other legal obligations.2 / Develop and implement an Annual Audit Plan to ensure the best use of resources to adequately cover all activities and services of the Council in accordance with relevant best practice.
3 / Identify and properly report new and sensitive issues which may have an impact on the Council and ensure the development of appropriate solutions that provide the best possible outcomes across the council.
4 / Direct the completion of Special Investigations and ensure the implications for the Council are effectively managed and communicated.
5 / Provide assurance on the management of risk and controls within the council, to inform the annual audit opinion, the annual governance statement and underpin the Audit Commission’s use of resources.
6 / Manage the council’s benefit fraud service in line with all council, contractual and legal requirements delivering a professional, efficient and sensitive fraud investigation service fully protecting the Council’s interests. For Fraud ASM only
7 / Ensure effective staff development, competency and performance management in order to deliver the above objectives.
Scope (outline the size or scope of the role, direct or indirect responsibility for people, finances, resources and any special aspects of the role)
The post holder:
Accountable for managing and controlling part of the Audit Services’ budgets £1.5m including monthly monitoring and periodic forecasting as agreed with AD Audit & Risk Management across 2 Audit Services Manager posts.
Internal Audit£’000 / Corporate Anti Fraud
£’000
Staffing / £686 / £390
Gross Expenditure / £784 / £442
Income / £25 / £20
Net Expenditure / £759 / £422
Manages a team of 16 and 7 staff within the Audit Service, including staff appraisals, recruitment, staff development, discipline and morale and for ensuring best use of staff resources.
Contributes to the Development and agreement with Corporate Directors, Assistant Directors and the Audit Committee regarding the production of the annual audit plan and its delivery. This is reviewed monthly and quarterly reassessed with senior management.
Works closely with a range of colleagues across all directorates to ensure the Council’s Value for Money and economy and efficiency initiatives are successfully implemented.
Influences the introduction of better more streamlined processes across the council that positively impact on citizens of Milton Keynes.
Maintain existing Audit software packages and review new options as and when required with authority to purchase up to £25,000.
Contributes to the Development, negotiation and agreements with the External Auditors regarding the external audit process, plans, budgets, risks and use of resources.
Contributes to the Development, negotiation and agreements on work to be undertaken with the Police, DWP, CPS, Courts, Employment Tribunals, GTC’s and other outside bodies during special investigations and when necessary on an ongoing basis. The post holder also ensures that such external bodies and their processes are understood, used and maximised to best protect the Council’s interests.
Highlights and discusses regularly with CLT and DMT members the adequacy of the corporate ownership of the risk registers and the effective management of risk
Present management cases at disciplinary hearings, appeals etc. Represent the Council and attend as Witnesses to criminal and civil courts, employment tribunals, arbitration and other regulatory hearings and processes.
Communicates with members of the public in a sensitive and potentially confrontational environment requiring the use of tact, tenacity and diplomacy.
Participates as the Council’s representative on external professional network Audit and Fraud Groups, keeping abreast of best practice and new developments.
Participates in corporate projects at a high level to review, report on and ensure such projects are undertaken in compliance with relevant policy, best practice and to the benefit of the tax payers of Milton Keynes.
Work Profile
Maintains a high awareness of the Council’s aims and objectives, activities and developments to ensure that the Service provided reflects the needs of the Council and plays a key role in developing a strategy for the Audit Service.
Manages the staff within the Audit Service, including staff appraisals, recruitment, staff development, discipline, morale and performance monitoring ensuring their adherence to professional standards.
Attends at Audit Committee and other Committees where required to present periodic and specific reports.
Manages the completion of audits to a high standard in line with council and statutory requirements and professional standards.
Manages the circulation and publication of reports throughout the council and externally ensuring that the recommendations are appropriately targeted and implemented.
Manages the consultancy requests and balance the reactive work with the planned work priorities.
Maintain existing Audit software packages and review new options as and when required with authority to purchase up to £*
Manages fraud, disciplinary and consultancy investigations including obtaining and securing records, documents and assets etc via the use of statutory procedures.
Leads and manages investigative caseload including joint working with DWP and other external bodies.
Manages and delivers performance and statutory measures.
Promotion of the highest ethical and governance standards throughout the council.
Develops and promotes corporate anti fraud culture.
Flexible in allocating resources to deal with special investigations and to identify which parts of the audit plan are deferred as a result.
Judges the extent and depth of Audit Investigations taking the decision on whether to proceed with or terminate the process
As Investigating Officer will lead and deal with staff involved in complex special investigations, including those under investigation and witnesses. This will need them to be sensitive to the both the individuals concerned and the legal constraints under which the investigations operate. Will present the management case at disciplinary hearings and Employment Tribunals.
Audit Services Manager 1
April 2011
Job Context (attach the organisation chart(s) relating to the role
Audit Services Manager 1
April 2011
PERSON SPECIFICATION
In this section the Skills, Knowledge, Qualification and Competency requirements to perform the role to a satisfactory standard are set out. The extent, nature and level of the role holder’s knowledge and skills should be specified
Awareness some knowledge or skills sufficient to show aptitude and the ability to learn in the particular work area
Significant knowledge and skills gained through practice and/or qualification sufficient to fulfill the role requirements
Extensive knowledge and skills gained through practice and/ or qualification to fulfill the role requirements and contribute to training others and developing policy and practice in the work area
PERSON SPECIFICATION / Examples specific to role / Required / Level / Method of Assessment interview, testing, referenceEssential / Desirable / Awareness / Significant / Extensive
SKILLS AND KNOWLEDGE
Technical knowledge and qualifications / CCAB (ACCA, CIPFA, CIMA, IIAICAEW) fully Qualified Accountant or equivalent / X / X / I, R
Experience and knowledge of strategic analysis and translating concepts into practical plans including highly developed analytical skills for complex operational and strategic delivery of an audit service / X / X / I, R
Knowledge and experience of effective application of professional and ethical standards in service delivery, performance management and service improvement / X / X / I, R
Recent experience and knowledge in a senior position delivering successful and effective audit and anti-fraud / investigative services preferably within the public sector / X / X / I, R
Knowledge of the practical development and application of policy and the delivery of audit services within a policy setting environment / X / X / I, R
Knowledge of the preparation and management of inspections accreditations / X / X / I, R
Evidence of successfully managing projects including the application of project management principles / X / X / I, R
Evidence of performance management theories, their practical application in improving services and the management of such systems / X / X / I, R
Knowledge of National, International and public sector legislation, policy and professional best practice / X / X / I, R
Evidence of an understanding and application of Value For Money principles / X / X / I, R
Evidence of delivering within a politically sensitive environment including advice, guidance and understanding of politicians and Committee processes / X / X / I, R
A high level of proficiency with IT including spreadsheets, word processing, email, data matching and data mining / I, R
Experience in a large complex work environment and organisation / X / X / I, R
Experience in the delivery of public sector / local government services / X / X / I, R
Planning and organising work / Ability to plan and prioritise work for a service demonstrated by effective personal and team work plans delivering to identified deadlines. / X / X / I, R
Taking responsibility for driving results through the services and staff responsible for delivery the Council’s aims and objectives / X / X / I, R
Turning plans into actions, gaining commitment from others involved. Monitoring progress and measuring success against agreed standards, making adjustments when required / X / X / I, R
Taking responsibility for delivering own work and meeting agreed work objectives, working to local frameworks and guidelines. / X / X / I, R
Planning capacity and resources / Managing self and teams to achieve results including managing cross departmental and service teams including the effective management of workloads, priorities and resources. / X / X / I, R
Developing and applying capacity and resource plans (medium and long term that support the Council’s Strategic agenda and Vision and Values, making sure that standards are in place for effective communication, monitoring progress and measuring success. / X / X / I, R
Working across professions, directorates and traditional boundaries. / X / X / I, R
Influencing and interpersonal skills / Maintaining effective relationships with customers and stakeholders, whilst demonstrating integrity and sensitivity to issues such as confidentiality and challenge / X / X / I, R
Ability to build effective relationships and achieve cooperation from others (especially those not under direct control) to deliver organisational objectives / X / X / I, R
Delivering information clearly and succinctly to others in the council, partnerships, external organisations and to customers / X / X / I, R
Gaining commitment from others involved when turning plans into action. Monitoring progress and measuring success against agreed standards, making adjustments when required / X / X / I, R
PROBLEM-SOLVING
Using initiative to overcome problems / Consulting with customers and stakeholders to ensure that we are providing what they need to the required standards, keeping customers involved in changes and developments that may effect them and balancing different customer needs and expectations / X / X / I, R
Demonstrates the ability to identify and implement creative solutions to problems in a high-profile context. / X / X / I, R
Leading, managing and supporting improvements to services and processes, inviting and sharing knowledge and ideas on how improvements can be made / X / X / I, R
Identifying when and why we fail to meet customer expectations, putting things right and developing processes and mechanisms to prevent problems from being repeated: working with and listening to customers to find out how we can improve the services we provide / X / X / I, R
Managing risk / Demonstrates the ability of managing risk effectively, taking evidence based decisions in context balancing relevant risks and their successful outcome / X / X / I, R
Identifying and evaluating risks systematically, communicating information to enable appropriate and timely action; recognising situations where risk may be justifiable / X / X / I, R
Maintaining a safe environment and being aware of any potential hazards and risks in your own working environment and taking action to put things right / X / X / I, R
Managing change / Proven success in promoting and delivering continuous improvement, initiating, managing and responding positively to change to deliver audit, governance and service objectives. / X / X / I, R
Developing a programme of change which takes note of barriers and risks, and the appropriate monitoring required: putting in place a specific programme, including the necessary resources, supporting mechanisms and communication structure / X / X / I, R
Taking the lead role within post holders services in influencing and motivating those who are involved in the practicalities of making the vision a reality. Ensuring that when a customer has a problem, we do our best to put it right first time / X / X / I, R
Demonstrating the Audit Services identify, promote and deliver positive change to support the Council’s objectives and priorities / X / X / I, R
ACCOUNTABILITY and RESPONSIBILITY
Undertakes tasks without supervision / Evidence of working without supervision, determining priorities, taking decisions, managing projects and continuous improvement delivering to deadlines, for the Audit Service and self. / X / X / I, R
Taking responsibility to minimise issues that could disrupt work, and escalate the issue where appropriate. Keeping those involved informed. / X / X / I, R
Taking informed decisions to develop a framework through which we are better able to understand who our customers are, what they need and what we should do to meet that need / X / X / I, R
Making sure that all customers have fair and equal access to services consideration to providing support and or resources enable every customer to access the services they need / X / X / I, R
Planning, creating and supporting activities which support and contribute to MKC’s departmental, divisional and service area strategic objectives / X / X / I, R
Managing people / Leading by example, displaying commitment to MKC’s behavioural ethics, influencing colleagues by demonstrating, and encouraging a way of working which reflects the principles of the vision and values / X / X / I, R
Demonstrate supervision, motivation and co-ordination of others including across organisational boundaries to deliver the Council’s Vision and Values. / X / X / I, R
Assessing the impact of policies to ensure that their operation will not adversely affect groups or place particular groups at a disadvantage. Monitoring the way in which policies and procedures are developed and put into practice; identifying what activities will help to embed the policies and procedures / X / X / I, R
Supporting and enabling colleagues to improve performance through a continuous learning culture in which appropriate resources are available and employees are encouraged to take responsibility for their own development / X / X / I, R
Identifying the people required to achieve Audit Services and organisational objectives, determining the combination of skills, knowledge and behaviours required to achieve the successful outcome of strategic plans within MKC’s Vision and Values / X / X / I, R
Promoting awareness within your team to ensure that they understand the opportunities and benefits of diversity. Ensuring that MKC’s Corporate Equality policy is clearly communicated to all employees / X / X / I, R
Setting an example by displaying active commitment to a culture that embraces excellent customer service as the normal way of working / X / X / I, R
Managing financial resources / Successful application of planning and forecasting budget requirements, commitments and results including capacity planning / X / X / I, R
Able to analyse and manage complex budgets that properly control expenditure and maximise income for the post holders responsibilities in line with the Council’s aim, vision and objectives / X / X / I, R
Ensuring that all resources are used responsibly, avoiding unnecessary waste and being mindful of environmental responsibilities, recycling where possible / X / X / I, R
Application of value for money principles and analysis of finance to identify efficiencies that provide the optimum route to achieving cost-effective solutions / X / X / I, R
Other information