<p>The Compliance Specialist with oversight from the Chief Compliance Officer, is primarily responsible for supporting the development and implementation of the university compliance program. The Compliance Specialist collaborates with unit and college compliance partners across the university who have regulatory and compliance responsibilities. These activities include compliance assessments and mitigation activities, conflicts of interest, ethics compliance and reporting, and university policies and procedures development and support. The compliance specialist works to create a transparent compliance and risk-aware environment and to administer efficient and effective services and deliverables.</p> <p>The compliance specialist supports the University on regulatory compliance and risk reduction activities through facilitating effective and efficient identification, prevention, detection, and correction of non-compliance. The compliance specialist works with the university partners to remediate issues identified through internal monitoring, audits, testing, and support.</p> <p>Education and Experience</p> <ul> <li>Advanced degree and 2+ years related experience in regulatory compliance </li><li>Experience in conducting compliance assessments, compliance matrices, supporting policy and program development. </li><li>Preferred: Work experience in higher education setting supporting compliance initiatives, experience in an R1 institution supporting regulatory compliance. </li></ul> <p>Skills and Knowledge</p> <p>The ideal candidate will have knowledge of compliance-related policy, laws, and regulations with preference in knowledge in compliance related fields in higher education, experience monitoring compliance activities and emerging regulations, risk reduction, conducting assessments, and working with stakeholders to implement and foster effective and efficient compliance programs and processes.</p> <p>Technical competency and compliance experience: Understanding of compliance frameworks and their applicability to higher education. Familiarity with risk rating and compliance modeling.</p> <p>Understanding of risk-based compliance assessments and root cause analysis.</p> <p>Law, Regulations, and Government: Knowledge of the legislative process and the regulatory environment that influence higher education and Rl institutions. Ability to read and understand regulations.</p> <p>Experience with higher education regulations is a plus.</p> <p>Problem Solving</p> <p>Research/Fact Gathering - Problems require research and gathering of facts from various sources; solutions require specialized knowledge and the ability to conceptualize varied solutions within a given framework.</p> <p>Management Oversight and Direction</p> <p>General Direction - Receives general direction working from established policies and objectives.</p> <p>Responsibilities</p> <p>Compliance Assessments</p> <ul> <li>Knowledge of reading regulations: Understanding how to read regulations and their applicability of such regulations that apply to higher education </li><li>Conduct thorough regulatory compliance assessments across university departments to identify potential gaps and areas for improvement. </li><li>Collaborate with department heads and compliance personnel to gather necessary documentation and evidence for assessments. </li><li>Analyze assessment findings and prepare reports highlighting compliance status and recommendations for corrective actions. </li><li>Track and monitor the implementation of corrective actions to ensure timely closure of compliance gaps. </li><li>Maintain up-to-date knowledge of relevant regulations and standards to ensure assessments are aligned with current requirements. </li><li>Provide regular updates to the Chief Compliance Officer on the status of compliance assessments and any emerging issues. </li><li>Assist in the development and refinement of assessment methodologies and tools to enhance the effectiveness of compliance evaluations. </li><li>Support the Chief Compliance Officer in preparing for senior leadership meetings regarding compliance assessments related to regulatory compliance. </li><li>Facilitate training sessions and workshops to educate university staff on compliance assessment processes and best practices. </li><li>Contribute to the continuous improvement of the university's overall compliance program through proactive identification of risks and opportunities. </li></ul> <p>University Compliance Matrix and Calendar:</p> <ul> <li>Monitor and update the university compliance calendar to ensure all deadlines and requirements are met. </li><li>Coordinate with various departments to gather necessary compliance information and documentation. </li><li>Track regulatory changes with various key stakeholders to ensure the calendar reflects current compliance requirements with reporting dates. </li><li>Prepare and distribute reminders for upcoming compliance deadlines to relevant stakeholders. </li><li>Maintain accurate records of due dates for federal requirements and responsible persons, including reminders for report submittals. </li><li>Generate reports on compliance report submittals status and progress for management review. </li><li>Establish the University Compliance calendar. </li></ul> <p>University Policy:</p> <ul> <li>Assist policy writers by providing administrative support and coordinating the policy development process. </li><li>Review and track the age of existing university policies to identify those needing updates or revisions. </li><li>Suggest updates and improvements to policies based on regulatory changes, best practices, and stakeholder feedback. </li><li>Coordinate with relevant departments to gather input and ensure policies are comprehensive and up to date. </li><li>Suggest improvements to the centralized repository of all university policies and ensure easy access for stakeholders. </li><li>Prepare and distribute notifications about policy changes and updates to the university community. </li><li>Provide training and guidance to staff on policy-related matters and updates. </li></ul> <p>Conflicts of Interest:</p> <ul> <li>Support the Office of Compliance regarding the annual surveys of 700 eligible employees for the Conflicts of Interest. </li><li>Track progress of survey completion, contact eligible employees who have not completed survey in timely manner and escalate those employees to administrations until surveys are completed. </li><li>Ensure management plans are in place for any employee requiring a management plan as directed of the Office of Compliance and store that plan in the university document management system. </li></ul> <p>Ethics and Compliance Hotline- Back up to the Compliance Reporting Manager.</p> <ul> <li>Confidentiality and Anonymity: Ability to ensure that all reports are handled confidentially, and that the identity of the reporter is protected </li><li>Technical Proficiency: Familiarity with hotline reporting systems and software </li><li>·Receive and Document Reports: Accurately receive and document all reports submitted through the ethics and compliance hotline. </li><li>Initial Assessment: Conduct an initial assessment of each report to determine the nature and urgency of the issue. </li><li>· Categorize Reports: Categorize reports based on predefined criteria to ensure they are directed to the appropriate department or administrator. </li><li>Communication: Communicate effectively with reporters and/or appropriate investigators to gather additional information if needed and provide updates on the status of their report. </li><li>Collaboration: Collaborate with various departments, such as Compliance, HR, DPS, Community Standards, EHS, Athletics, Finance and others to ensure proper triaging of reports </li><li>Follow-Up: Monitor the progress of investigations and follow up with relevant administrators to ensure timely resolution of issues. </li><li>Recordkeeping: Utilize university data management systems for recordkeeping and retention ensuring compliance with university policies. </li><li>Metrics: Perform quarterly metrics for the University Chief Compliance Officer </li><li>Physical Requirements </li></ul> <p>Not Applicable</p> <p>Tools/Equipment</p> <p>Not Applicable</p> <p>Application Instructions</p> <p>In addition to completing an online application, please attach a resume and cover letter.</p>