Director of Compliance
Job no: 494564
Work type: Staff
Categories: Legal & Compliance, Full Time
Pay Grade: 34E
Context of the Job:
The Office of Internal Audit & Compliance operates under a Charter approved by the Board of Trustees Audit Visiting Committee. The Department’s mission defined in the Charter is to provide independent, objective assurance and consulting services to improve the operations and internal controls of the University. In fulfilling this mission, Internal Audit & Compliance assists the University in accomplishing its objectives by bringing a systematic and disciplined approach to evaluate and improve the effectiveness of business risk management, control, and internal operating processes that support the University’s core missions of teaching, research, and service. The University is a complex diversified organization with approximately 300 departments having a wide range of operations with unique internal control, compliance and audit considerations, an annual operating budget of $1 billion – approximately $200 million is federal research funding -- and $4 billion in assets.
Under limited direction, the Director of Compliance is responsible for effectively providing high-level oversight of College and Departmental compliance programs at the University, which include but are not limited to Research, Athletics, Environmental Health & Safety, Human Resources, Immigration, HIPAA, and Title IX. The Director of Compliance is responsible for identifying and assessing areas of compliance risk, recommending improvements to compliance programs, completing audits as required, and communicating results to the President’s Executive Committee and Audit Visiting Committee.
- Provide leadership and strategic direction to the compliance function.
- Maintain an effective compliance oversight program.
- With the assistance of Internal Audit staff, perform independent audits and prepare clear and actionable audit reports, as necessary.
- Conduct sensitive investigations of matters reported through the University Compliance Hotline.
- Develop compliance orientation materials to educate the University community about the objectives and requirements of the compliance program.
- Assist in the development of employee compliance education and training.
- Be a subject matter expert on University compliance policy content and interpretation.
- Use risk assessment methodology and tools to document applicable compliance regulations, compliance risks, controls to mitigate risks, and reporting of results to senior management.
- Coordinate and integrate enterprise risk management assessments with compliance risk assessments to develop an overall view of operational, financial, and compliance risks at the University.
- Coordinate compliance oversight through the network of compliance managers that encompass all significant regulatory responsibilities of the University to include on-going monitoring and reporting on compliance program effectiveness to the President’s Executive Committee and Audit Visiting Committee.
- Maintain record of compliance manager assignments for each significant compliance regulation.
- Regularly review the compliance program and recommend appropriate revisions and modifications.
- Perform miscellaneous job-related duties as assigned.
- Bachelor's degree with eight years of experience in compliance regulation and management. Advanced degree and applicable certifications preferred.
- Significant compliance and internal control experience including demonstrated knowledge of effective compliance risk assessment and mitigation techniques.
- Experience with enterprise risk management assessments and methodology.
- Experience with compliance and internal control testing and documentation.
- Effective oral and written communication skills.
- Analytical/problem solving and interpersonal skills.
- Project and people management skills to prioritize and lead multiple concurrent projects.
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