Senior Auditor/SOX, Business Processes

Audit Project Management

• Assists in the planning of audit engagements, including the development of the audit scope, and audit program.
• Applies the Internal Audit Methodology and the Standards in performing and/or supervising Staff on walkthrough procedures, testing and documentation within defined timelines, with minimal supervision.
• Is able to identify objectives, risks and controls, weaknesses and / or instances of over-control.
• Evaluates the adequacy and effectiveness of the internal controls over the audit activities.
• Understands the principles of the identification, assessment and management of risk and controls.
• Makes recommendations to improve internal control.
• Assesses all facts and context related to an exception noted in testing, assures sufficient evidence is documented and is able to identify the root cause and make correlation with other areas of the process, where applicable.
• Appropriately documents exceptions which capture the required elements in the Standards in a harmonious and logical flow for incorporation into the audit report.
•  Writes observations to specified standards including format and style with supervision.
• Is able to take into account the fundamental principles and operations of HR, Treasury, Legal and other functional areas to ensure the relevance and appropriateness of audit findings.
• Presents audit findings to management to obtain input and appropriate action items.

Other Audit Functions

• Assists Manager or Supervisor in performing follow-up with management to verify that appropriate action is taken on all recommendations.
• When assigned, coaches and trains Associate and Staff auditors.
• Is aware of the resources available and is able to utilize them to obtain the best results. Aids Associate and Staff auditors in applying professional judgment.
• Performs external auditor assistance work, including Sarbanes-Oxley Act related testing.
• Performs location-based (District) audit procedures, as needed; completing all work papers with accuracy within established timeframes.
• Documents all findings and recommendations in a draft report and communicates findings to Management.
• Issues audit report within established guidelines.
• Performs special projects and other duties as assigned, including due diligence reviews and investigation of fraud allegations.
• Tests and evaluates the effectiveness of anti-fraud programs and controls.

SOX

• Directly support multiple businesses across the UGI Family of Companies to monitor the proper implementation (if applicable), execution, and documentation of the company’s internal control framework ensuring compliance with the Sarbanes-Oxley Act of 2002
• Supervise and review the work of the BP SOX Analyst  as they document and conclude on the design and operating effectiveness of key internal controls, and identify potential process gaps and improvement opportunities across UGI Corp (holding company’s) control environment
• Assist in execution to modernize and streamline the existing business processes and controls environment across UGI’s Family of Companies
• Establish effective working relationships and serve as a “change agent”/”subject matter expert” with key internal stakeholders, company management, and internal/external auditors; collaborate with all parties to resolve issues and implement efficient control solutions while maintaining independence and objectivity as a second line of defense
• Collaborate with BU SOX Coordinators to support and facilitate execution of UGI’s global SOX program
• Facilitate quarterly external reporting requirements related to SOX (e.g. Section 302 certification, Related Party disclosure info gathering)
• Conduct periodic trainings to promote awareness of internal controls and SOX/audit requirements
• Support quarterly reporting to identify and aggregate controls-related issues within scope and report to executive leadership on severity of deficiencies and coordinated remediation plans
• Administer the SOX compliance tool (Wdesk), as needed
  Perform other duties as assigned
• Professionalism and Business Understanding (at all times)
  Establishes and maintains effective working relationships within the department, with staff in other departments and the external auditors.
• Demonstrates clear understanding of the specific components of the Company’s business; utilizes the Audit Supervisor or Manager to understand regulatory, legal and economic issues.
• Maintains confidentiality, exhibit respect in interaction, respect information sharing via all communication tools.