Audit and Compliance Review Manager (Job class 1824)
Location: San Francisco
This is a Permanent Exempt (PEX) position.
Salary Range: $113,542 – $138,034/year
About the Commission
The San Francisco Ethics Commission was created directly by the City’s voters with the passage of Proposition K in November 1993. Through its 24-member staff, the Commission is responsible for the independent and impartial administration and enforcement of laws related to campaign finance, public financing of candidates, governmental ethics, conflicts of interests, and registration and reporting by lobbyists, campaign consultants, permit consultants, and major developers. The Commission has an operating budget of roughly $4.8 million also administers a $7 million Election Campaign Fund that provides partial public financing for qualified candidates for City elective office.
Our mission is to practice and promote the highest standards of integrity in government. We achieve that by delivering impactful programs that promote fair, transparent, and accountable governmental decision making for the benefit of all San Franciscans. With public service a public trust, our aim is to ensure that San Franciscans can have confidence that the operations of the City and County and the decisions made by its officials and employees are fair, just, and made without any regard to private or personal gain.
The Ethics Commission is committed to recruiting, hiring, and retaining and a diverse, collaborative, and high performing staff of individuals whose individual experiences, knowledge, and talents collectively drive achievement of the Commission’s unique mission in San Francisco city government. We honor and value diversity, inclusion, and engagement, and are committed to promoting racial equity and to creating and sustaining a work environment that reflects and engages the diversity of our communities. Applicants who contribute to this diversity are strongly encouraged to apply. The Commission provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, gender, gender identity or expression, national origin, age, disability, genetics, or any other protected category.
About the Team
To help fulfill the Ethics Commission’s oversight function, the Audit Division is responsible for conducting campaign audits pursuant to the Commission’s Charter authority and mandate under City law to determine whether committees have materially complied with applicable requirements of State and local laws. The Division also administers the Public Campaign Financing Program qualification and claim review process to determine candidate eligibility and public funds disbursements. In addition, the Audit Division is responsible for conducting audits required under City law related to the lobbyist registration and reporting and for conducting post-filing compliance reviews of other disclosures, such as public economic interest filings by City officials.
Audits and post-filing compliance are core oversight tools to ensure accountability by those regulated under the law and can help identify any areas where laws may need to be strengthened to ensure they are effective in practice. Public reporting on the degree of compliance with City laws helps promote future improved compliance by those audited and also can help prevent underreporting or incorrect reporting by others similarly regulated. Written reports of audit and assessment review findings provide public transparency about filers’ compliance with requirements of the law and can indicate where further enforcement action by the Commission may be warranted.
In an era that has challenged the public’s faith in government, the audit and oversight functions of the Ethics Commission play a vital role in supporting its core mission to help build trust in governmental institutions.
About the Role
The Audit and Compliance Review Manager reports to the Executive Director, supervises three staff positions, and has responsibility to plan, organize, and conduct sensitive, complex, and detailed audit and analytical work. The Manager also has responsibility to lead implementation of continuous improvement measures, including to address recommendations of the August 2020 Budget and Legislative Analyst Performance Audit of the Ethics Commission to improve program tracking and audit completion timeframes and formalize auditor training. In addition, the Manager is responsible for developing and implementing business processes and protocols to establish and conduct regular post-filing compliance reviews, such as of electronically filed Statements of Economic Interests (Form 700) as recommended in the City Controller’s June 2020 Public Integrity Review report. In leading this transformative work, the Audit and Compliance Review Manager plays an essential role in shaping core oversight functions at the Commission and in working with the Audit team to ensure their effectiveness.
As with all positions at the Ethics Commission, the Audit and Compliance Review Manager must be willing to forego involvement in all local political activity while a member of the Commission staff.
Important and Essential Duties
Essential duties of the position include, but are not limited to the following:
- Establish annual program plans and conduct audits and reviews timely and effectively to ensure achievement of departmental goals.
- Plan, organize, supervise and conduct multiple complex audits and post-filing compliance reviews to identify material lapses in compliance or patterns of non-compliance.
- Identify and establish best practices in performing effective audit and compliance review assessments.
- Establish, standardize, and document substantive and procedural components of audits and post-filing compliance reviews, including project scope, goals, key milestones, selection criteria, testing standards, methods and documentation, and supervisory review.
- Maintain in-depth knowledge of applicable laws and program methodologies used to administer and enforce them.
- Collaborate cross-functionally with other staff teams to evaluate the effect of proposed laws and regulations on audit program and post-filing assessments.
- Update audit and assessment scope, testing standards, and methods as necessary to reflect changes in applicable laws.
- Refine and standardize protocols and templates for written public audit and assessment reports to ensure they are issued timely and include sufficient detail and context for findings and recommendations, as appropriate.
- Develop, standardize, and implement methods and processes to regularly track and assess audit and compliance review progress and outcomes in relation to goals established. Refine templates, processes, timeframes, and protocols as necessary to sustain program improvements.
- Prepare program evaluation and management reports, agency publications, and financial reports that include operational and performance statistics to provide regular progress updates regarding identified goals and milestones and to timely identify, analyze, and resolve any program-related issues.
- Prepare public reports for presentation to Commission on program achievements to provide appropriate program transparency and accountability for program effectiveness and to elicit feedback to inform and help sustain program effectiveness.
- Evaluate effectiveness of audits and compliance reviews and develop recommendations to strengthen laws, policies, or practices to heighten their effectiveness and impact.
- Collaborate with other Division leads in preparing departmental budget proposals and supporting documentation, including administering and monitoring Division expenses to ensure agency spending is within budget.
- May develop and/or manage vendor-related work, such as specifications and terms for contractual agreements, and direct, conduct and/or review competitive solicitation, review and selection processes, negotiation with potential contractors, and approvals processing. May also direct, conduct reviews and/or preparation of cost estimates and terms for proposed change orders and modifications, contract provisions, and contract performance.
- Establish annual performance goals and indicators of progress, including individual staff performance plans, and conduct performance appraisals with Division staff.
- Promote knowledge sharing among staff team, assist in cross-training on applicable policies, procedures, regulations, systems, operations, and processes.
- Provide staff coaching and support professional development, including by formalizing annual training programs to enhance skills, promote staff success, and support employee engagement and retention.
- As assigned, may supervise clerical, technical staff or other subordinate professional staff.
- Perform other related duties as assigned, including participation in Commission meetings as appropriate.
- Contribute effectively individually and as a member of diverse teams to achieve goals under the press of deadlines in highly visible, sensitive, and politicized settings.
- Maintain confidentiality of sensitive and confidential information obtained through the course of completing assignments while working comfortably in an open government environment.
- As a member of a diverse staff team, lead by example in establishing and maintaining effective professional relationships that foster individual and team engagement, an inclusive work environment, and creative and constructive problem-solving.
- Demonstrate sound independent judgment and the highest standards of integrity in carrying out duties.
Highly Desirable Qualifications
During the selection process the following desirable qualifications may be used to identify applicants selected to become a job finalist.
- A Master’s degree in public administration, business administration, public policy, or closely related field of study.
- Experience planning, managing, and conducting multiple concurrent audits and developing well-supported findings and recommendations.
- Experience supervising individuals and diverse teams in high-visibility, highly-sensitive, or highly-politicized settings.
- Knowledge of governmental ethics, campaign finance, or lobbying or other government accountability issues and practices, including within a regulatory or government oversight agency.
- Experience developing, tracking, and meeting key performance indicators evidencing progress within identified timeframes toward established goals and objectives.
Knowledge, Skills and Abilities
Essential knowledge, skills, and abilities of the position include, but are not limited to the following:
- Knowledge of principles, methods and techniques of auditing, compliance assessments, and/or oversight reviews, particularly in a government setting.
- Knowledge of principles, methods and techniques of public administration, business and/or financial administration, and/or public policy or data gathering and analysis.
- Knowledge of principles, methods and techniques for evaluating program operations and performance.
- Knowledge of administrative policies related to personnel management, including the principles of supervision, training, and performance evaluation, and experience supervising individuals and teams, and the administration of audits or complex budgets, programs, and operations.
- Experience planning, managing and/or performing multiple concurrent projects while delivering high quality work product against the press of a deadline, including ability to develop and maintain organizational systems that ensure effective tracking and reporting toward program goals and objectives.
- Ability to organize, plan, schedule, direct, and manage the work of others and align resources and efforts to achieve organizational goals and priorities within established expectations.
- Strong leadership and management skills and experience working effectively with varied stakeholders in high-visibility or sensitive settings.
- Analytical expertise demonstrating strategic thinking to set high-level priorities for operations that align with organizational goals.
- Ability to develop and implement strategic plans that identify goals, key deliverables, priorities, resource needs, deadlines, and performance metrics to ensure organized and timely completion of work, program effectiveness, and operational efficiency.
- Ability to develop, plan, implement, and monitor use of effective administrative policies and procedures to ensure standardization of practices and consistent approaches across projects.
- Analytical expertise, orientation for detail and accuracy, and ability to evaluate data to identify patterns and develop logically-supported conclusions and recommendations.
- Experience in preparing well-organized, concise, and well-supported written documents such as reports, memos, informational guides, and compliance tools.
- Proficiency with computers and data analysis skills, including with Microsoft Office tools and other software applications, electronic filings systems, collaboration tools (SharePoint, MS Teams or similar) financial system, and digital signature tools (DocuSign or similar). Familiarity with PowerBI, Tableau, or other statistical/analytics tools is a plus.
- Adaptability and flexibility in handling changing circumstances in dynamic work environments, and openness to new ideas and practices.
- Ability to maintain in-depth and current knowledge of applicable ordinances, rules, regulations, policies, and systems related to local and state level campaign finance and governmental ethics laws.
- Ability to apply sound judgment, knowledge of laws, procedures, and systems, and strong problem solving skills to make well-reasoned, objective, and timely decisions and effectively solve complex problems related to program operations.
- Verbal and written communication skills, including ability to develop materials, including web and other content as appropriate, to document program components, approaches, and procedures to advance understanding of programs’ requirements among internal and external stakeholders.
- Ability to organize, develop and present complex and detailed information in an accurate, engaging, and concise manner to promote understanding.
- Ability to effectively utilize e-filing systems and other technology tools to access, track, and analyze program and filing data and develop spreadsheets, charts, presentations, performance outcome measures, action plans, and program status reports for effective program monitoring.
- Ability to identify gaps in existing rules, regulations, policies, methods, and practices and perform change management functions that facilitate smooth adoption of operational changes.
- Ability to maintain confidentiality of sensitive and confidential information obtained through the course of completing assignments while working comfortably in an open government environment.
- Ability to establish and maintain appropriate professional rapport with others in the course of performing duties and to achieve agency goals in highly-pressurized and difficult situations, including through constructive and tactful communications to build trust, foster team spirit, and promote an inclusive and effective work environment.
- Ability to work objectively in a politically sensitive environment and a willingness to forego all local political activity.
- Ability to exercise tact, sound independent judgment, and the highest standards of integrity in carrying out duties.
These minimum qualifications establish the education, training, experience, special skills and/or license(s) which the City and County of San Francisco requires for employment in the classification.
- Possession of a graduate degree (Master’s degree or higher) from an accredited college or university, and five (5) years full-time equivalent experience performing professional-level analytical work as described in Note A; OR
- Possession of a graduate degree (Master’s degree or higher) from an accredited college or university with major college coursework as described in Note B, and four (4) years full-time equivalent experience performing professional-level analytical work as described in Note A; OR
- Possession of a baccalaureate degree from an accredited college or university, and six (6) years full-time equivalent experience performing professional-level analytical work as described in Note A; OR
- Possession of a baccalaureate degree from an accredited college or university with major college coursework as described in Note B, and five (5) years full-time-equivalent experience performing professional-level analytical work as described in Note A;
SUBSTITUTION: Applicants may substitute up to 2 years of the required education with additional qualifying experience in budget analysis, financial analysis and reporting, legislative/policy analysis, or contract/grant administration. One year (2000 hours) of additional qualifying experience will be considered equivalent to 30 semester units/45 quarter units.
Notes on Qualifying Experience and Education:
- Qualifying professional-level analytical experience must be in one or more of the following functional areas: complex budget analysis, development and administration; complex financial/fiscal analysis and reporting; development of complex contracting systems and administration of competitive bid processes and complex contractual agreements; development and evaluation of complex management/administrative policy; complex grant administration and monitoring; complex program evaluation and planning; complex legislative analysis; complex economic analysis; or other functional areas related to the duties of positions in Class 1824, where the primary focus of the job is complex professional-level analysis for evaluation, recommendation, development and implementation of major programs and functions of department/organization. Analytical experience equivalent to the duties of Class 1823 is considered qualifying.
- Coursework applicable to a baccalaureate or higher degree in specialized subject matter areas such as public or business administration, management, business law, contract law, public policy, urban studies, economics, statistical analysis, finance, accounting or other fields of study closely related to the essential functions of positions in Class 1824.
How To Apply
To apply for this position, please submit the following documents using the Apply Now link at the bottom of this document:
- Statement of Interest that details your interest in the Audits and Compliance Review Manager position and that describes your relevant audit management skills and experience, including the audit or administrative oversight related to government accountability, services, or programs.
- Current Resume.
Applications that do not contain the requested information will not be considered.
Complete applications will be reviewed as they are received and applicants selected to advance to the interview process will be contacted by phone or email.
** Please note that due to ongoing COVID19 public health restrictions all candidate interviews will take place online using remote technology. In addition, subject to further official notice from the City and County of San Francisco, the successful candidate should expect to perform their duties working fully remotely at least through June 30, 2021, however any City employee may be called in for Disaster Service Work duty or to work on site subject to the City’s and Department’s established Health and Safety protocols. In such instances, employees may be required be on site with 24-hours’ notice.