FUNCTIONAL

JOB CODE: 6161-6165 FUNCTIONAL: Finance and Administration

JOB TITLE: Compliance Analyst SUBFUNCTIONAL: Finance

PRIMARY RESPONSIBILITY:

Compliance Analyst (Levels 1 through 5): Assists and supports the organization with initial compliance with and ongoing preparation, testing and monitoring of conformance to the requirements of Sarbanes-Oxley legislation. Performs evaluation of internal controls, communications, risk assessments and maintenance of documentation, as it relates to Sarbanes-Oxley (SOX) section(s) 302 or 404 compliance. Conducts ongoing SOX audits annually, assessing risk in terms of financial, operational and strategic controls. Identifies risk and evaluates deficiencies while working with internal departments/business units to appropriately remedy them. Communicates audit results and prepares written documentation/reports as it relates to SOX, disclosing all significant deficiencies to management. Facilitates internal training on requirements of SOX compliance. May require experience using SOX Express and other computer databases including enterprisewide software systems. May require expertise in interpreting SOP 97-2. Uses knowledge of SOX Act of 2002, GAAP, Oracle, SAP, Visio and/or a variety of desktop applications.

NOTE: This job has been placed in a professional category for orientation purposes only. This placement should not be considered a recommendation from Radford Surveys concerning employee exemption status. Participants are reminded to apply appropriate FLSA salary and duties tests to determine overtime eligibility. Do not rely upon job title or reported market practices for guidance.

LEVELING REQUIREMENTS:

Level 1:

· KNOWLEDGE: Learns to use professional concepts. Applies company policies and procedures to resolve routine issues.

· JOB COMPLEXITY: Works on problems of limited scope. Follows standard practices and procedures in analyzing situations or data from which answers can be readily obtained. Contact with others is primarily internal.

· SUPERVISION: Normally receives detailed instructions on all work.

· EXPERIENCE: Typically requires no previous professional experience.

Level 2:

· KNOWLEDGE: Uses professional concepts; applies company policies and procedures to resolve a variety of issues.

· JOB COMPLEXITY: Works on problems of moderate scope where analysis of situations or data requires a review of a variety of factors. Exercises judgment within defined procedures and practices to determine appropriate action. Has internal and some external contacts.

· SUPERVISION: Normally receives general instructions on routine work, detailed instructions on new projects or assignments.

· EXPERIENCE: Typically requires a minimum of 2 years of related experience. In some companies, the requirement will be less.

Level 3:

· KNOWLEDGE: Uses skills as a seasoned, experienced professional with a full understanding of industry practices and company policies and procedures; resolves a wide range of issues in imaginative as well as practical ways. This job is the fully qualified, career-oriented, journey-level position.

· JOB COMPLEXITY: Works on problems of diverse scope where analysis of data requires evaluation of identifiable factors. Demonstrates good judgment in selecting methods and techniques for obtaining solutions. Interacts with senior internal and external personnel.

· SUPERVISION: Normally receives little instruction on day-to-day work, general instructions on new assignments.

· EXPERIENCE: Typically requires a minimum of 5 years of related experience. In some companies, the requirement will be less.

Level 4:

· KNOWLEDGE: Having wide-ranging experience, uses professional concepts and company objectives to resolve complex issues in creative and effective ways. Some barriers to entry exist at this level (i.e., dept/peer review).

· JOB COMPLEXITY: Works on complex issues where analysis of situations or data requires an in-depth evaluation of variable factors. Exercises judgment in selecting methods, techniques and evaluation criteria for obtaining results. Internal and external contacts often pertain to company plans and objectives.

· SUPERVISION: Determines methods and procedures on new assignments, and may provide guidance to other personnel.

· EXPERIENCE: Typically requires a minimum of 8 years of related experience. In some companies, the requirement will be less. At this level, graduate coursework may be desirable.

Level 5:

· KNOWLEDGE: Having broad expertise or unique knowledge, uses skills to contribute to development of company objectives and principles and to achieve goals in creative and effective ways. Barriers to entry such as technical committee review exist at this level.

· JOB COMPLEXITY: Works on significant and unique issues where analysis of situations or data requires an evaluation of intangibles. Exercises independent judgment in methods, techniques and evaluation criteria for obtaining results. Contacts pertain to significant matters often involving coordination among groups.

· SUPERVISION: Acts independently to determine methods and procedures on new or special assignments. May supervise the activities of others.

· EXPERIENCE: Typically requires a minimum of 12+ years of related experience. In some companies, the requirement will be less. At this level, graduate coursework may be expected.

SURVEY JOB CODE: 6171-6175 FUNCTIONAL: Finance and Administration

SURVEY JOB TITLE: Internal Auditor SUBFUNCTIONAL: Finance

PRIMARY RESPONSIBILITY:

Internal Auditor (Levels 1 through 5): Conducts internal financial and/or system audits and risk assessments. May test and document financial and computer system records for information system integrity and transaction accuracy. Reports discrepancies. Prepares audit plans and understands the specific issues to be evaluated. Executes internal audits within established business process controls. Develops formal written reports to communicate audit results to management and regulatory compliance agencies, if applicable and makes recommendations as appropriate. May facilitate work of external auditors during on-site visits. May require audit knowledge and skills in finance/accounting and/or information system operations. Survey Tip: If responsibilities are primarily focused on compliance with Sarbanes-Oxley (SOX) legislation, match to Compliance Analyst (6161-6165).

LEVELING REQUIREMENTS:

Level 1:

· KNOWLEDGE: Learns to use professional concepts. Applies company policies and procedures to resolve routine issues.

· SUPERVISION: Normally receives detailed instructions on all work.

· EXPERIENCE: Typically requires no previous professional experience.

Level 2:

· KNOWLEDGE: Uses professional concepts; applies company policies and procedures to resolve

a variety of issues.

· SUPERVISION: Normally receives general instructions on routine work, detailed instructions on new projects or assignments.

· EXPERIENCE: Typically requires a minimum of 2 years of related experience. In some companies, the requirement will be less.

Level 3:

· SUPERVISION: Normally receives little instruction on day-to-day work, general instructions on new assignments.

· EXPERIENCE: Typically requires a minimum of 5 years of related experience. In some companies, the requirement will be less.

Level 4:

· SUPERVISION: Determines methods and procedures on new assignments, and may provide guidance to other personnel.

· EXPERIENCE: Typically requires a minimum of 8 years of related experience. In some companies, the requirement will be less. At this level, graduate coursework may be desirable.

Level 5:

· SUPERVISION: Acts independently to determine methods and procedures on new or special assignments. May supervise the activities of others.

· EXPERIENCE: Typically requires a minimum of 12+ years of related experience. In some companies, the requirement will be less. At this level, graduate coursework may be expected.