Chief Compliance Officer

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Chief Compliance Officer

Duties: Overseeing and managing compliance within the University to ensure that is upholding best practices and complying with all regulatory requirements and related internal policies, practices, and procedures. Analyzing and assessing risks and designing and stewarding effective compliance strategies, structures, and processes. Serves as the University’s compliance leader and subject matter expert and is responsible for establishing standards and implementing procedures to ensure that the compliance programs at all levels of the organization are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws, regulations, and rules. Provide a high level of assurance to the University’s Board and senior management that there are adequate and effective policies and procedures in place to ensure compliance with all regulatory requirements and that they are well understood by the campus community. Reports administratively to the CFO, VP for Finance and Treasurer and functionally to the Audit Committee of the Board of Trustees. Oversees the Office of Environmental Health & Safety and Insurance Risk Management, and has oversight responsibility for compliance personnel across campus. In addition, the CCO interfaces regularly with the Provost and VP for Academic Affairs, General Counsel, and other senior officers of the University. Develops and implements mechanisms to measure, monitor and continuously strengthen the University’s compliance program, including working with all campus leaders, particularly those with compliance ownership responsibilities to ensure that the University’s electronic risk database is reviewed, updated, and managed on an ongoing basis. Reports to the Audit Committee and the Board of Trustee on compliance matters, as needed, including the preparation and presentation of an annual report with a comprehensive view of all key compliance activities, risks and ongoing projects. Serves as subject matter expert on compliance questions and issues, providing oversight and guidance to offices through the University on compliance with laws and regulations that affect their work. Proactively identifies potential areas of compliance risk and vulnerability and develops and implements corrective action plans for resolution of issues and provides guidance on methods of avoiding recurrence. Responds to alleged violations of rules, regulations, policies, procedures, and standards of conduct by coordinating with the Office of General Counsel in conducting appropriate investigations. Supports the University’s status as a Federal Contractor and compliance with all applicable regulations and requirements. Chairs the University’s Risk & Compliance Steering Committee (RCSC), organizes regular ongoing briefings to the RSCS by key compliance owners, and ensures that the RSCS serves as an independent review and evaluation body to ensure that compliance issues and concerns within the University are being appropriately evaluated, investigated, and resolved in a timely manner. Oversees training of employees on compliance including organizing and/or creating trainings and holding training sessions, in coordination with other University offices and personnel, including new employee orientations. Manages the University’s Compliance Hotline and works with an outside vendor to obtain information on claims. Conducts follow-up with University leaders to resolve any claims and questions.

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