Chief Compliance Officer and Chief Audit Executive

The Florida Polytechnic University is seeking a candidate to act as the university’s Chief Compliance Officer and Chief Audit Executive. The candidate will be the University’s first Chief Compliance Officer and Chief Audit Executive. Accordingly, the candidate will be tasked with establishing, developing, then performing the duties and managing the department.   This position will act as the point for coordination of and responsibility for activities that promote accountability, integrity, and efficiency in the operations of the university.  The position will also be responsible for ensuring that university activities promote ethical conduct and maximize compliance with applicable laws, regulations, rules, policies and procedures.  The position will initiate, conduct, supervise, or coordinate investigations. The position of Chief Compliance Officer and Chief Audit Executive will report administratively to the President of the university and functionally to the Board of Trustees.

DUTIES AND RESPONSIBILITIES:

Provide direction for, supervise, and coordinate audits and investigations which promote economy, efficiency, and effectiveness in the administration of university programs and operations including, but not limited to, auxiliary facilities and services, direct support organizations, and other component units. Conduct, supervise, or coordinate activities for the purpose of preventing and detecting fraud and abuse within university programs and operations including, but not limited to, auxiliary facilities and services, direct support organizations, and other component units. Address allegations relating to waste, fraud, or financial mismanagement, as provided in Board of Governors Regulation 4.001. Keep the President and Board of Trustees regularly informed about allegations and known occurrences of waste, fraud, mismanagement, abuses, and deficiencies relating to university programs and operations; recommend corrective actions; and report on the progress made in implementing corrective actions. Report routinely to the Board of Trustees on matters including significant risk exposures, control issues, fraud risks, governance issues, and other matters requested by the Board of Trustees or the President. Promote, in collaboration with other appropriate university officials, effective coordination between the university and the Florida Auditor General, federal auditors, accrediting bodies, and other governmental or oversight bodies. Review and evaluate controls necessary to enhance and promote the accountability of the university. Determine scope and assignment of audits. Perform or supervise audits and prepare reports of findings, recommendations, and opinions. Review, draft and make recommendations about, policies and regulations related to the university’s programs and operations including, but not limited to, auxiliary facilities and services, direct support organizations, and other component units. Communicate to the President and the Board of Trustees, at least annually, plans and resource requirements, including significant changes, and the impact of resource limitations. Provide training and outreach designed to promote accountability and address topics such as fraud awareness, risk management, controls, whistleblower, and other related subject matter. Develop and maintain a quality assurance and improvement program for the office of chief audit executive. Establish policies which articulate the steps for reporting and escalating matters of alleged misconduct, including criminal conduct. Inform the Board of Trustees when contracting for specific instances of audit or investigative assistance. Act as liaison for the Board of Trustees’ audit and compliance committee. Review statutory whistleblower information and coordinate all activities of the university pursuant to Florida Whistle-blower’s Act. Create, implement, manage and coordinate the compliance and ethics program (“Program”) as outlined in Board of Governor’s Regulation 4.003. Promote and enforce the “Program” through appropriate incentives and discipline to encourage a culture of compliance and ethics. Provide training to university employees and the Board of Trustees on their responsibilities and accountability for ethical compliance with applicable laws, regulations, rules, policies, and procedures. Initiate, conduct, supervise, coordinate, or refer to other appropriate offices (such as Human Resources, Title IX, or General Counsel) such inquiries, investigations, or reviews as deemed appropriate and in accordance with university regulations and policies. Communicate routinely to the President and the Board of Trustees regarding activities that fall under the “Program” outlined in Board of Governor’s Regulation 4.003. Conduct and report on compliance, ethics activities and inquiries. Report, at a minimum, on an annual basis on the effectiveness of the “Program.”  

KNOWLEDGE, SKILLS AND ABILITIES:

Knowledge and experience preparing audits in accordance with the Institute of Internal Auditors’ International Professional Practices Framework, United States Government Accountability Office’s Government Auditing Standards, and/or ISACA’s Information Systems Auditing Standards. Demonstrated ability to prepare reports and effectively communicate results and action plans. Experience developing audits plans and ensuring corrective actions have effectively been implemented. Proven ability to develop and maintain quality assurance and improvement program in accordance with applicable audit standards. Demonstrated ability to work in a respectful and confidential manner while dealing with sensitive and stressful situations in a professional manner. Ability to use appropriate judgment in making decisions and recommendations. Ability to manage multiple and competing priorities simultaneously. Excellent presentation and facilitation skills. perience meeting strict deadlines, handling confidential information and confidential documentation. Excellent written and verbal communication skills, analytical and problem-solving skills, and time management skills.  

 

MINIMUM QUALIFICATIONS:

Bachelor’s degree required, from an accredited institution, in the areas of accounting, finance, public administration or related field. Five (5) years’ demonstrable working experience in auditing and/or compliance with 150 hours required. 

PREFERRED QUALIFICATIONS:

J.D. or Master’s degree plus ten (10) years’ experience.  Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), and Certified Internal Auditor (CIA).  Experience at an institution of higher education in the areas of compliance and auditing.

REQUIRED LICENSES, CERTIFICATIONS, AND/OR OTHER SPECIFIC REQUIREMENTS OF LAW:

Must possess a valid driver’s license. This position requires a criminal background check. This position is subject to federal and state privacy regulations.  

HIRING SALARY RANGE: $110,000 - $123,000

Application Deadline Date: This position is open until filled.

This position requires a background check, which may include a level II screening as required by the Florida Statute §435.04.