Assistant Director Of Compliance

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Assistant Director of Compliance
Duties: Assists in the assessment of compliance readiness of various University areas at the division, department or unit level and work collaboratively with operational leaders in order to ensure that compliance matters are promptly handled or forwarded for follow up or response. Works closely with policy owners in the process of updating/implementing University policies and procedures, as assigned. Within this area of responsibility, the Assistant University Compliance Officer will help to maintain a policy library and/or other centralized repository of official University policies and procedures. Verifies accuracy and ensures compliance with plans, policies and procedures prescribed by management. Performs compliance related reviews, investigative fieldwork, and other duties such as determining the presence of internal controls and reliance on organizational structure. Establishes effective working relationships and builds credibility with faculty, staff and students to promote a culture of ethics and compliance. Researches and develops recommendations on how most effectively to address compliance-related issues of university-wide applicability including in high risk compliance areas such as sponsored research, financial aid, intercollegiate athletics, data privacy and security, and records retention, among others. Prepares written reports, resources, and education and training materials on timely compliance topics and designs, develops and conducts compliance related education and training. Assures follow up of external and internal audit findings to ensure adequacy and timeliness of correction. Ensures University policies are followed and evaluates the adequacy and effectiveness of internal procedures, systems and controls. Elevates instances of non-compliance to management for corrective measures when necessary. Assists in training and consulting with faculty and staff on internal controls and other compliance issues. Collects and analyzes data and develops metrics to measure the effectiveness of the compliance and ethics program and initiatives undertaken on behalf of the institution. Proactively prepares management for entrance, status and exit conferences associated with annual external audit. Performs other related duties as required or directed by the University Chief Compliance Officer.

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