Auditor

**Primary purpose of the role**

The role conducts targeted monitoring of regulated entities within the point-to-point transport industry to ensure regulatory compliance and safety standards through the implementation of an audit program, including the management of external auditors.

**Key accountabilities**
- Support the Manager in a risk-based audit framework and coordinate audit activities with relevant stakeholders, including the development of a targeted program of work and appropriate policies, protocols, and tools for a coordinated approach.
- Utilise technology and best practice auditing systems to complete audit work, analyse data and prepare more complex reports from the Commission's audit plan.
- Engage with and educate the regulated community regarding the compliance requirements of the legislation and provide feedback to other teams to ensure an integrated approach to stakeholders.
- Respond to enquiries from the regulated community, external service providers, and departmental staff regarding compliance issues.
- Monitor the compliance of regulated entities through strategic, targeted audits and documenting results and prepare reports to support increased compliance with regulatory requirements.
- Ensure evidence is obtained per policies and procedures to support quality investigations.
- Contribute to the identification and discussion of emerging policy matters identified through compliance activities.
- Work collaboratively with other teams across the Commission to establish compliance with point-to-point transport legislation.

**Key challenges**
- Managing uncertainty in a new regulatory environment. Ability to manage multiple priorities at once and achieve timely and effective results in a busy work environment.
- Balancing stakeholder engagement and education objectives with the need to monitor compliance and implement a rigorous audit regime.

**Decision making**

This role has autonomy and makes decisions that are under its direct control. The role refers to Manager Audit decisions that require significant change to program outcomes or timeframes or are likely to escalate or require submission to a higher management level. The role is fully accountable for delivering work assignments on time and expectations regarding quality, deliverables, and outcomes.

**Reporting line**

The role reports to the relevant reporting line manager.

**Direct reports**

This role has no direct reports.

**Key knowledge and experience**
- Demonstrated knowledge and experience in the use of live testing techniques gained through audit practice.
- Experience working outside regular working hours and travel on occasion.

**Essential requirements**
- Appropriate tertiary qualifications in a relevant discipline or equivalent experience in a regulatory and compliance environment**.**

**Capabilities for the role**

The NSW public sector capability framework describes the capabilities (knowledge, skills and abilities) needed to perform a role. There are four main groups of capabilities: personal attributes, relationships, results, and business enablers, with a fifth people management group of capabilities for roles with managerial responsibilities. These groups, combined with capabilities drawn from occupation-specific capability sets where relevant, work together to provide an understanding of the capabilities needed for the role.

The capabilities are separated into focus capabilities and complementary capabilities.

**Focus capabilities**
- Focus capabilities are the capabilities considered the most important for effective performance of the role. These capabilities will be assessed at recruitment.
- The focus capabilities for this role are shown below with a brief explanation of what each capability covers and the indicators describing the types of behaviours expected at each level.