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- Bernards, NJ 07920
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Sr. Director, Internal Audit & Risk Assessment
Daiichi Sankyo, Inc. • Bernards, NJ
Posted 4 days ago
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Daiichi Sankyo, Inc. is the U.S. subsidiary of Daiichi Sankyo, Co., Ltd. The Company currently markets therapies in hypertension, dyslipidemia, diabetes, acute coronary syndrome, thrombotic disorders, stroke risk reduction, opioid-induced constipation, IV iron therapy and metastatic melanoma.
The Sr. Director, Internal Audit & Risk Assessment will be responsible for managing the audit function to ensure development and execution of the J-SOX testing, the annual audit plan for financial, IS, operations, and healthcare compliance risks (as may be required under the CIA), chair Financial Oversight Committee, investigative audit projects, implementing the Risk Assessment and Mitigation Process per the company’s Corporate Integrity Agreement (CIA) and special projects for both DSI and LPI.
This individual is responsible for providing advisory and interpretive services to others to use in making critical decisions to ensure financial and regulatory compliance. This role will assist the company in managing strategic risks, as well as improving and/or developing efficient and effective business processes. This individual will also serve as the Internal Audit liaison between DSI/LPI and DS Tokyo for all external communications relating to the audit function.
SOX (or JOX) Testing: As the head of the Internal Audit Department this individual will be responsible for managing the audit recourses to ensure completion of the annual JSOX audit and testing for both the DSI and LPI and reporting such to Daiichi Sankyo Co., Ltd. This will include overseeing the following tasks for the Process Level Controls (PLC) and the Information Technology General Controls (ITGC):
- Performing/managing critical phases of the annual J-SOX process from the initial step of the annual risk assessment in coordination with the DS Global J-SOX Team to the final steps of communicating results of the key internal control test work.
- Monitoring J-SOX Audit to ensure DSI/LPI achieves all required DS Global J-SOX deadlines.
- Managing the Internal Audit Department staff to ensure that the audit work is properly performed and documented.
- Collaborating with business process owners (i.e. Finance and IT) to monitor changes in the business, process and systems to ensure timely updating of control documentation.
- Identification of key internal controls that will be tested, including information technology general computer controls.
- Performing audit test procedures of key controls as related to J-SOX.
- Coordinate closely with the cross-functional teams (Finance, Supply Chain and IT) to ensure an efficient and synergistic approach to overall testing of internal controls.
- Identifying and communicating internal control weaknesses and remediation plans to DSI Senior Management
- Providing J-SOX status reports to the Chief Ethics Officer, VP of Finance, VP of Information Technology, Executive Committee and DS Global J-SOX team.
- Coordinating J-SOX efforts with the external public accounting firm by meeting periodically with them to discuss the scope of the audit as well as the timeline to ensure that they achieve the necessary deadlines (as dictated by DS Global J-SOX team).
- Perform additional training (as needed) to inform management of the J-SOX requirements. Provide project planning, oversight and consulting to ensure that the company remains compliant with J-SOX.
Risk Assessment: Develop annual compliance risk assessment which will be used as the foundation for the Annual Internal Audit Plan, as well as the Compliance Department’s Annual Monitoring Program, Annual Compliance Training Program, and Annual Policy & Procedure Enhancements Plan. Develop, maintain, and implement CIA required annual Risk Assessment and Mitigation Plans for DSI’s and LPI’s commercial products.
Audit: Create and manage the execution of DSI’s and LPI’s Annual Audit Plan which will consist of two main components. One component will ensure that all major risks of the company including financial, IT, and operational risks are identified, prioritized, and adequately managed for both DSI and LPI. The second component will ensure that all major healthcare compliance risks will be identified, prioritized, and adequately managed for both DSI and LPI. The plan will need to address requirements set forth by the Company’s CIA related to auditing. Key responsibilities include but are not limited to:
- Present proposed annual audit plan for Financial, IT, and Operational risks to Financial Oversight Committee for approval.
- Present proposed annual audit plan for healthcare compliance risks to the Corporate Ethics & Compliance Committee for approval.
- Update respective committees on audit plan activities & findings each quarter and propose modifications to audit plan as necessary.
- Manage Internal Audit Function to ensure successful execution of the annual audit plan.
- Ensure audits are performed in accordance with the audit standards issued by the Public Company Accounting Oversight Board (PCAOB) and Institute of Internal Auditors (IIA).
- Continually make improvements to the systems, procedures and processes reviewed to minimize risks and improve efficiency over company’s audit process.
- Ensure appropriate distribution of audit reports business function leaders as necessary.
- Providing advisory and interpretive services for others to use in making critical decisions as related to financial, IT, operational, and healthcare compliance; coordinate the internal audit efforts with the company’s external public accounting firm.
Successful candidates will be able to meet the qualifications below with or without a reasonable accommodation.
BA/BS degree in Accounting (preferably with a focus in internal controls, fraud prevention, etc.) with a minimum of 8 years of audit experience including financial, information technology, operational and healthcare compliance auditing and fraud investigations; managing work directly related to Sarbanes Oxley and/or J-SOX compliance; working knowledge of OIG/FDA and industry guidance on healthcare compliance.
Depth and breadth of knowledge of auditing various matters; strong technical competencies in accounting and information technology; financial, operational, fraud and information technology auditing; healthcare compliance (including trends in relevant CIAs, settlements, business transaction flow analysis and flowcharting techniques
Ability to earn the trust and respect of internal and external stakeholders; self-starter able to address issues and interact effectively to enact changes/progress; strong leadership skills; high degree of integrity and ethics; experience conducting interviews of employees and/or vendors; ability to effectively teach, motivate and inspire others
Daiichi Sankyo, Inc. is an equal opportunity/affirmative action employer. Qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law.