Dun N Bradstreet

Roles and Responsibilities on Audits

Core Team Member – Responsible for performing/documenting walkthroughs, identifying risks and controls, documenting the risks and controls, developing control test plans, testing controls, documenting results and identifying issues that result from the tests. A core team member is responsible for ensuring their individual work meets the required standards and is completed timely. A core team member is also responsible for developing/maintaining relationships with the teammates that execute the process that they are covering within the audit.

Project Manager - Responsible for leading the audit through planning, fieldwork and wrap up. This includes ensuring that the core team is adequately performing/documenting walkthroughs, identifying risks and controls, documenting the risks and controls, developing control test plans, testing controls, documenting results and identifying issues that result from the tests. The core team reports up through the project manager during the audit. A project manager is responsible for ensuring the work completed by the core team meets the required standards and is completed timely. A project manager is also responsible for developing/maintaining relationships with key managers that are responsible for the area that is covered in the audit.

Quality Reviewer – Responsible for overseeing the execution of an audit to ensure it meets the required standards, covers the appropriate scope and is completed timely. The quality reviewer is also responsible for ensuring that the project team develops/maintains appropriate relationships with the managers and teammates within the area that is covered in the audit.

Functional Support Roles-These roles within SAS provide key functional support to the Audit Teams, Audit Directors and Managing Directors as defined by SAS Management. These supporting roles include areas such as Professional Practices, Risk Assessment, Continuous Assurance Support/Data...