Audit And Compliance Function
Knowledge of and ability to manage the major responsibilities, accountabilities, and organization of the Audit and Compliance (A&C) function or department.
Behavior Statements
Explains the role and contribution of the A&C function.
Describes the major tasks and responsibilities of the A&C function.
Identifies the basic tools used by A&C professionals.
Clarifies the role of technology in A&C.
Summarizes the mission, vision and objectives of the A&C function.
Explains the major A&C programs, initiatives and issues currently being addressed.
Works with the major units and sub-functions of the A&C organization.
Participates in meetings regarding relevant regulatory considerations and agencies.
Implements the basic A&C technology used within the organization.
Manages one or more A&C functions or units.
Contributes to development of A&C strategies and plans.
Facilitates compliance-related business process implementation or improvement initiatives.
Contributes to the establishment of best practices for A&C.
Implements specific organizational changes made in response to the Sarbanes-Oxley Act.
Improves key relationships and dependencies among Audit, IT and other business functions.
Leads and architects major A&C organizations.
Defines the mission, vision and objectives of the A&C function.
Leads major A&C reengineering initiatives and programs.
Develops financial, staffing and competency requirements for A&C.
Defends organizational A&C strategies versus business and industry trends and experiences.
Initiates communications campaigns to promote awareness of key A&C issues.
Interview Questions
- How did you ensure that all members of your audit or compliance team were following consistent standards?
- Tell me about audit or compliance related projects you were involved in.
- How did you minimize the impact of new audit or compliance legislation on your function or department?
- How did your organization use audits or compliance to improve its competitive position?
- How do you monitor A&C functions to ensure that operations meet the relevant regulations?