Auditor 1, SG 18, Auditor Trainee 2, (Equated to SG 16),Auditor Trainee 1, (Equated to SG 14)(NYHELPS)Item# 07367

Job description

Duties Description Conduct Audits of Employer / Bureau Compliance with Retirement and Social Security Laws, Rules and Regulations.
• Conduct risk assessments to determine what areas are high risks or conduct targeted examinations in response to Executive requests.


• Prepare an audit plan that outlines step by step methodologies for accomplishing the purpose of the examination.


• Gain a thorough understanding of the laws, rules, regulations and policies that govern the issue.


• Review employer’s and bureau’s current policies and procedures for compliance with applicable statutes and evaluate their compliance with laws related to the Retirement System.


• Perform compliance and quality assurance activities that answer the questions posed by the examination.

This may include obtaining payroll, personnel, banking and legal documents to validate membership, eligibility status, service crediting and benefit and salary determinations.


• Inspect records to determine if transactions are properly recorded, documented, and authorized.

Verify data and records.


• Evaluate controls for efficiency and effectiveness.

Identify weaknesses.


• Ensure that salary and service reporting is consistent with laws and regulations.


• Determine the status and extent of the problem, through interviews, document analysis and outside research.


• Identify the causes of the problem and communicate with affected Bureaus in the Division to develop recommendations that are achievable and considerate of the impact on the employer, member and the retirement system as a whole.


• Work with employers and members to improve the accuracy and completeness of their reporting.


• Prepare reports of findings and recommend improvements to the employer or Division as appropriate to prevent any similar actions occurring in the future and identify ways to improve efficiency and effectiveness.


• Discuss findings with internal and external officials and recommend changes in procedures and systems needed.

Facilitate the implementation of recommendations needing cross-bureau collaboration.


• Provide technical assistance to law enforcement officials in conjunction with criminal fraud findings.



Compliance Projects
• Develop plans of action outlining step-by-step methodologies for accomplishing the purpose of the project.


• Perform compliance activities that validate membership, eligibility status, service crediting and benefit and salary determinations.


• Gain a thorough understanding of the laws, rules, regulations and policies that govern the issue.


• Review internal or external party’s polices and evaluate their compliance with laws, rules and regulations related to the Retirement System.


• Inspect records to determine if transactions are properly recorded, documented, and authorized.

Verify data and records.


• Evaluate controls for efficiency and effectiveness and identify weaknesses.


• Ensure that the entity is providing accurate and complete data to the Retirement System.


• Determine the status and extent of the problem, through interviews, document analysis and outside research.


• Identify the causes of the problem and communicate with affected Bureaus in the Division to develop recommendations that are achievable and considerate of the impact on the employer, member and the retirement system as a whole.


• Work with employers and members to improve the accuracy and completeness of their reporting.


• Prepare reports of findings and recommend improvements to the employer or Division as appropriate to prevent any similar actions occurring in the future and identify ways to improve efficiency and effectiveness.


• Discuss findings with internal and external officials and recommend changes in procedures and systems needed.

Facilitate the implementation of recommendations needing cross-bureau collaboration.


• Provide technical assistance to law enforcement officials in conjunction with criminal fraud findings.



Investigating and Resolving Referrals
• Collect and log all referrals, complaints, tips and other correspondences to the Comptroller or Retirement Division regarding alleged wrong-doings.


• Assess and track each contact based on risk, impact, and cost to the System and its members.


• Prioritize and address each contact in order of importance and time sensitivity.


• If the issue can be handled by a Bureau or other internal operating unit through its normal operating processes, draft a memo explaining the issue and the proposed action and forward the issue to the appropriate Bureau official.


• Facilitate the handling of the issue and any corrective action if cross-bureau coordination is necessary.


• Follow up with Bureau officials after a reasonable time to ensure proper corrective action has been taken.


• Discuss findings with internal and external officials and recommend changes in procedures and systems needed.

Facilitate the implementation of recommendations needing cross-bureau collaboration.


• Provide technical assistance to law enforcement officials in conjunction with criminal fraud findings

Quality Assurance & Special Projects
• Conduct risk assessments to determine what areas are high risks or develop plans of action in response to requests for compliance reviews.


• Work with Data Analytics Team to query and analyze system data to conduct quality assurance activities.

These activities should validate the accuracy and completeness of Retirement System data including data on membership, eligibility status, service crediting and benefit and salary determinations.


• Identify the errors and the cause where possible.


• Facilitate corrective action among Bureaus to prevent any similar actions occurring in the future and identify ways to improve efficiency and effectiveness.

Required Skill Profession

Financial Specialists