• Job Description

  Req#: 702716
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  Position Summary

  The Chief Compliance and Audit Officer (CCAO) is responsible for establishing standards and procedures and the implementation of compliance programs across MassDOT that are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws, regulations, policies, and procedures. The CCAO will conduct DOT-wide risk assessments and compliance reviews to provide assurance to the MassDOT leadership that there are efficient internal controls, policies and procedures in place that are well understood and respected by all MassDOT employees, and that the organization is compliant with all relevant laws, policies and regulatory requirements.

  The CCAO is responsible for oversight of the MassDOT Internal Audit Operations and will report to the Chief Legal Counsel and provide regular reports to the Secretary and CEO and the Finance and Audit Committee of the Board of Directors.

  Duties and Responsibilities

  Compliance Strategy and Plan

  • Define the necessary levels of knowledge on existing and emerging regulatory compliance requirements across and throughout MassDOT.
  • Develop a compliance work plan that reflects MassDOT’s responsibilities to direct, operate, administer, and implement the programs of roadway, general aviation, rail and transit, motor vehicle licensing and registration regulation and the design, construction, repair, maintenance, development and planning of transportation facilities that are safe, reliable, and resilient.
  • Develop and implement a DOT-wide risk assessment and corrective action plan.
  • Support a culture of compliance.
  • Identify and respond effectively to emerging new compliance risks. Periodically revising the compliance plan in light of internal (organizational) or external (legal or regulatory) changes.

  Compliance Function

  The CCAO is responsible for

  • Drafting or updating the organization’s Employee Code of Conduct and conducting employee training sessions on that Code.
  • Drafting or updating Compliance Policies and Procedures including a process for conducting internal investigations which includes interfaces with additional stakeholders such as HR, LR, ODCR, Safety the OGC, and law enforcement as necessary.
  • Establishing of a Compliance Committee that includes representatives from each division and department and meets regularly to address concerns related to compliance, risk, and vendor management.
  • Addressing issues and concerns identified by employees through established reporting portals – MassDOT’s Employee Concerns Hotline, ODCR, HR/LR and providing regular reports on the progress of addressing these concerns/issues to the CEO and the Audit Committee.

  Oversight and Implementation

  • Provide oversight and monitoring of the implementation of the compliance program.
  • Oversee MassDOT’s Internal Audit Operations department, review and monitoring of annual Audit Plan and provide input and recommendations.
  • Providing strategic direction to the management team on compliance.
  • Prepare and present clear and concise compliance reports for Secretary and CEO and Finance and Audit Committee of the MassDOT Board of Directors.
  • Coordinate internal compliance reviews, risk assessments and monitoring activities, including periodic reviews of all MassDOT divisions.
  • Communicate integrity, ethics standards and values to ensure that adherence to compliance-related policies becomes culturally ingrained throughout MassDOT.
  • Assess and raise awareness of risks.

  Investigation and Crisis Management

  • Conduct reviews, assessments and investigations, both independently and in coordination with other MassDOT investigative units on matters related to compliance.
  • Develop plans to manage compliance-related crises and violations, including appropriate incident reporting channels.

  Audit

  The objective of MassDOT Audit Operations is to determine whether the organization’s network of risk management, control, and governance processes, as designed and represented by management, is adequate and functioning in a manner to ensure:

  • Internal controls are in place, are effective and operating as prescribed.
  • Risks are appropriately identified and managed.
  • Compliance with applicable laws, regulations, contract provisions, grant agreements and other requirements.
  • Significant financial, managerial, and operating information is accurate, reliable and timely.
  • Programs, plans, and objectives are achieved in an efficient and economical manner.
  • Employees’ actions are in compliance with policies, standards, procedures, and applicable laws and regulations.
  • Public resources are acquired economically, used efficiently, and protected adequately.
  • Quality and continuous improvement are fostered in the organization’s control processes.

  Internal Audit Function

  The CCAO is responsible for

  • Drafting or updating an Internal Audit Charter which sets out the purpose, authority, and responsibility of the Internal Audit Unit – Charter would be approved by the Audit Committee on an annual basis.
  • Drafting and updating annually the Internal Audit Plan which would be presented to the Audit Committee for approval.
  • Implementing and managing internal audits that evaluate the adequacy of internal controls, recommend improvements in controls, and assess compliance with the organization’s policies and procedures.
  • Presenting results of audits conducted pursuant to the Audit Plan to the Audit Committee.
  • Tracking progress on the organization’s implementation of corrective action plans.

  Audit Responsibilities

  The MassDOT Audit Operations Department is responsible for conducting internal audits for all of the divisions that comprise MassDOT (Registry of Motor Vehicles, Highway, Aeronautics and Rail and Transit) and the Massachusetts Bay Transportation Authority (MBTA).

  In addition, MassDOT Audit Operations has the responsibility to:

  • Develop a flexible annual audit plan using an appropriate risk-based methodology, submit that plan to the Finance and Audit Committee for review and approval and provide periodic information on the status and results of the annual audit plan.
  • Determine the adequacy and effectiveness of the organization’s systems of internal accounting and financial reporting controls. Report major issues and significant changes impacting the adequacy of internal controls specifically related to material control weaknesses.
  • Issue recommendations for corrective action to management for audit observations documented in the audit report.
  • Conduct follow up on management responses to audit report observations to determine the status of management’s corrective action.
  • Review management controls designed to safeguard company resources and verify the existence of such resources.
  • Determine if adequate controls are incorporated into information technology systems and the overall IT administrative functions.
  • Review organizational divisions/departments within MassDOT at appropriate intervals to determine if they are efficiently and effectively carrying out their functions of planning, organizing, directing, and controlling in accordance with management instruction, policies and procedures, in a manner consistent with organizational objectives and strategy.
  • Assist in the investigation of significant suspected fraudulent activities within the organization and notify management and the audit committee of the results.
  • Maintain a professional internal audit staff with sufficient knowledge, skills, experience, and professional certifications to meet the requirements of this Charter.

  Authority

  The MassDOT Audit Operations Department has the authority to:

  • Access, without restriction, all organizational functions, records, property, systems and personnel.
  • Access the Finance and Audit Committee without restriction.

  Preferred Qualifications

  • At least 10 years of compliance experience in a role with increasing responsibility in a heavily regulated industry
  • Must have audit experience.

  About MassDOT

  The 4,000+ employees of Massachusetts Department of Transportation (MassDOT) take great pride in connecting the Commonwealth’s residents and communities. MassDOT is responsible for developing, implementing, and coordinating transportation policies and projects for the Commonwealth of Massachusetts and to efficiently plan, design, construct, and maintain a safe statewide transportation system which effectively meets the transportation needs of the Commonwealth. Information about MassDOT’s inclusive culture and career opportunities can be found at mass.gov/massdot-careers.

  MassDOT’s divisions include Highway, Registry of Motor Vehicles, Aeronautics, and Rail & Transit. Headquarters (Planning & Enterprise Services) provides business and administrative support and policy leadership for each of the four (4) divisions.

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  First consideration will be given to those applicants that apply within the first 14 days.

  All job applications must be submitted online through MassCareers to be considered.

  Please provide a complete, accurate and current resume / application for MassDOT to review in order to determine if your submitted materials meet the minimum entrance requirements for the position.

  MINIMUM ENTRANCE REQUIREMENTS:

  Applicants must have at least (A) seven (7) years of full-time or, equivalent part-time, professional, administrative, supervisory, or managerial experience in business administration, business management, public administration, public management, clinical administration or clinical management of which (B) at least four (4) years must have been in a managerial capacity.

  Comprehensive Benefits

  When you embark on a career with the Commonwealth, you are offered an outstanding suite of employee benefits that add to the overall value of your compensation package. We take pride in providing a work experience that supports you, your loved ones, and your future.

  Want the specifics? Explore our Employee Benefits and Rewards!

  • For questions regarding the job posting, please email Heather Sweeney at heather.sweeney@dot.state.ma.us.
  • For general questions regarding MassDOT, call the Human Resources Service Center at 857-368-4722.
  • For a disability-related reasonable accommodation or alternative application method, call Diversity Officer, Derrick Mann, at 857-368-8541.

  An Equal Opportunity / Affirmative Action Employer. Females, minorities, veterans, and persons with disabilities are strongly encouraged to apply.

  The Commonwealth is an Equal Opportunity Employer and does not discriminate on the basis of race, religion, color, sex, gender identity or expression, sexual orientation, age, disability, national origin, veteran status, or any other basis covered by appropriate law. Research suggests that qualified women, Black, Indigenous, and Persons of Color (BIPOC) may self-select out of opportunities if they don't meet 100% of the job requirements. We encourage individuals who believe they have the skills necessary to thrive to apply for this role.

• About the company

  Official website of the Commonwealth of Massachusetts

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