University Compliance Manager

Location
Raleigh, NC
Posted
Jul 21, 2018
Institution Type
Four-Year Institution

Position Number: 00105002

Primary Function of Organization Unit: We are a dedicated team of legal advisors, counselors and professional staff committed to serving our clients by facilitating creative and collaborative solutions. We offer high-quality advice to assist our clients in their daily decision making and to further the university's goals and initiatives. We counsel the university community on legal and risk management matters in a collegial, responsive manner. Our passion is service; our standard is excellence. The office provides legal and risk management advice on a wide variety of matters to the Board of Trustees, the Chancellor, senior officers, other university administrators, and faculty and staff who are acting on behalf of the university. We do not represent or advise faculty, staff or students about personal legal matters.

Essential Job Duties: NC State University currently operates a decentralized compliance model - specifically, numerous offices and employees with respective operational ownership possess responsibility for discrete subject matter areas for applicable statutory, rule, policy, practice and/or regulatory obligations. The University Compliance Manager is charged with communicating and coordinating the centralized elements of an effective organizational compliance and ethics program (Program) at a diverse and highly complex research-intensive public university. The Program's implementation provides support to departments/units with compliance obligations by assisting units in the efficacy of their efforts, benchmarking compliance activities and reporting on improvements through the Compliance Governance structure, assisting/facilitating university-wide training, education, and resources for campus partners related to compliance, and counseling and advising departments/units on the improvement and attainment of compliance related objectives in the discrete subject matter areas (e.g. research compliance, data security and privacy, laboratory safety, Titles IV, VI, VII, and IX, athletics, Clery Act, employment/HR related compliance obligations, EEOC, ADA, Ethics Act, False Claims Act, Financial Aid, political activities, conflicts of interest, immigration, export controls, FLSA, etc.) The Program and Compliance Manager reports through the Office of General Counsel (OGC). The Program is responsible to and subject to the oversight of the University Compliance Steering Committee (composed of university divisional leadership), and assisted by the Compliance Working Group (composed of supervisory level owners of compliance related areas), chaired by the Deputy General Counsel. The Program provides proactive centralized guidance on larger picture compliance activities at the vice chancellor level, while ensuring ownership and accountability of compliance related activity and improvements remain at the appropriate and relevant department/unit level. This position will: i) act as a resource for compliance-related information and support; ii) serve as a catalyst for the achievement of university best practices in all compliance related subject matter areas; iii) serve as the primary resource to establish institution-wide policy development and review schedules; iv) assist departments/units in the process of finalization and approvals for drafted policies, regulations, and rules, as well as internal SOP's and campus-wide training initiatives; v) assist with periodic and annual assessments; vi) serve as the facilitator and coordinating manager supporting the university compliance and integrity program; and vii) at the direction of the OGC, assist affected units in scheduling and responding to federal agency reviews and investigations. The position will report through the Deputy General Counsel and act as coordinator, educator, and advisor to divisional leadership in relevant subject matters and programmatic areas associated with compliance. Working with OGC and the Office of Internal Audit, the position will assist with the development of subject matter specific compliance plans at departmental levels, promoting a culture of compliance and ethical behavior, working closely with the Deputy General Counsel, Director of Internal Audit and the Compliance Officials Working Group, providing input to support personnel to ensure key compliance categories are identified and addressed. This position also co-manages NC State's Ethics Hotline with the Internal Audit Division. In consultation with the General Counsel and Deputy General Counsel, the position will also provide secondary support of the University's strategic risk management process led by the Chancellor's Cabinet. **NATURE OF SERVICES PROVIDED** Capacity to work independently dispensing general compliance and preventative risk advice, maintain a compliance calendar and Matrix, and draft or review documents relating to the compliance activities of the institution. Provide timely advice to administrators, faculty and staff of the university in a broad range of compliance and risk management issues. Research and remain current with applicable state and federal statutes, regulations and case law in the compliance areas affecting higher education. Draft or review policies, regulations, rules, procedures, memoranda, correspondence, and training modules in support of various university operations and units related to compliance. Assist in gathering information from and submit a variety of forms and filings to state and federal agencies on applicable compliance related matters. **ORGANIZATIONAL RELATIONSHIPS** This position will report to the Deputy General Counsel, who leads the Compliance & Integrity Program and chairs the Compliance Officials Working Group and who reports, in turn, directly to the Vice Chancellor and General Counsel. Critical to the success of this position and the Program, this individual must develop internal relationships across organizational lines, particularly the compliance points of contact, directors, responsible officials, the Chancellor's Cabinet, serve as staff support to the Compliance Steering Committee, Compliance Officials Working Group, subject matter experts, Deans and Directors, and the Director of Internal Audit. **PRINCIPAL WORK RELATIONSHIPS** Principal internal support provided by this position will be to personnel engaged in NC State's model of compliance, including points of contact and supervisors over specific compliance-related subject matter areas. Additionally, the position will support the Compliance Steering Committee and the Compliance Officials Working Group, working closely with various academic, student affairs, safety and business operations and units in all subject matter areas. **PRINCIPAL DUTIES & RESPONSIBILITIES** 1. Compliance, Risk Assessment, and Strategic Planning * Assists in promoting an institutional culture of compliance and ethics. * Coordinating development and approval of institutional policies, regulations and rules that relate to compliance. * Developing, coordinating, and/or participating in educational and training programs focusing on elements of university compliance programs and ethics. * Through the Office of General Counsel, assist with compliance oversight and monitoring at divisional level to ensure institutional compliance with state and federal obligations. * Serves as an internal consultant on compliance and ethics matters and provides guidance to the university community. * Assists departmental or institutional subject matter compliance contacts in identifying and addressing applicable subject matter compliance obligations. * Work with the institutional partners, Compliance Officials Working Group, and Internal Audit to develop reporting mechanisms for allegations of suspected non-compliance or risk emergent situations that encourage employees to report without fear of retaliation. * Collaborates with the Chancellor's Cabinet or their designees on situations requiring investigations and/or fact-finding or reporting to government agencies. * Identify and elevate significant risk indicators or trends requiring institutional resources or immediate corrective action to the pertinent Vice Chancellor or the University Compliance Steering Committee. * Periodically revises and recommends improvements to the Program efficacy and practices. * Participates in the monitoring of the development and evaluation of annual compliance plans for the divisions based on systematic and ongoing risk assessment conducted in coordination with the Cabinet, Deans and Director of Internal Audit, and the university's responsible program compliance officers. * Works with the Director of Internal Audit, and the Deputy General Counsel to prepare and present the results of university compliance activities to the Chancellor and Vice Chancellors and as appropriate to the Audit, Risk Management and Finance Committee of the NC State Board of Trustees. * Manages NC State's Ethics Hotline with the Internal Audit Division. * Serves on compliance-related committees and working groups. 2. Project Management * Updates and maintains the university's "compliance calendar" and "matrix" reflecting a list of compliance regulations and laws, a description of each, and reporting deadlines. * Updates and maintains the university's compliance website with resources, tools and information. * Inventories, updates, and maintains an inventory of compliance areas, the offices and responsible program compliance officers charged with compliance responsibilities for each compliance area, including identification of roles, responsibilities, resources, and accessible tools for the responsible program compliance officers. * Periodically contacts responsible program compliance officers to gather information about their attentiveness to institutional regulatory compliance obligations and to identify any significant vulnerability or trends. * Performs an annual compliance program review with compliance owners to benchmark and assess each unit's performance and develop improvement strategies with relevant responsible officials, supervisors, and points of contact. * Raises awareness of regulatory requirements and determines whether there are adequate training resources available to comply with requirements. * Maintains awareness of new policies, regulations or laws or updates to existing compliance obligations and provides "early warning" services to appropriate university personnel regarding key regulatory changes or compliance initiatives by government audit or regulatory agencies. * Coordinates with Internal Audit on periodic compliance assessments/reviews to identify areas of non-compliance, follows up with personnel on identified non-compliance areas and works with risk managers to identify and mitigate risks while providing appropriate reporting to management. * Assists in developing corrective action plans where needed. * Identifies, recommends and develops initiatives and/or working groups or subcommittees to address or resolve strategic and/or university-wide compliance areas of concern and to share best practices with the Compliance Officials Working Group. 3. Leadership Activities * Catalyst and coordinator for compliance functions. * Establishes and/or chairs various compliance-related sub-working groups to advance the university's efforts as it relates to specific subject matter areas. * Maintains close productive working relationships with subject matter compliance contacts and responsible program compliance officers in various academic, research, and administrative units on campus. * Participates in or coordinates campus-wide and/or unit-level self-assessments of compliance processes in order to enhance effectiveness and to support the University's strategic goal of organizational excellence and constant improvement. * As directed by the General Counsel, serves on university-wide oversight committees for compliance-related initiatives. * Keeps abreast of leading or best practices in compliance training, monitoring, and effectiveness. Networks with colleagues from professional associations and other universities to share information on higher education risks and best practices.

Minimum Education/Experience: Required: A bachelor's degree and either a Master's or Law degree; advanced certifications in relevant compliance areas or significant and applicable experience in higher education or industry may be substituted for advanced degree.

Department Required Skills: Excellent analytical, organizational, research, problem solving, and interpersonal skills; ability to prioritize; excellent oral and written communication, presentation and public speaking skills; project management skills; collegial; demonstrated aptitude for team building; professional; sound judgment are crucial.

Preferred Experience, Skills, Training/Education: Preferred: Demonstrated knowledge and understanding of emerging trends and regulatory requirements, including, Federal Sentencing Guidelines compliance model, environmental health & safety, FERPA, Title IX, Clery Act, ADA, employment and hiring compliance, federal and state privacy issues, IT security and privacy issues and compliance, GDPR, research compliance, and financial aid. Strong aptitude for working with technology and experience in database management. Two or more years of legal, regulatory, audit and/or compliance activity or experience at a higher education institution or agency is a plus.

Necessary Licenses and Certifications: N/A

AA/EOE: NC State University is an equal opportunity and affirmative action employer. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, gender identity, age, sexual orientation, genetic information, status as an individual with a disability, or status as a protected veteran.

Individuals with disabilities requiring disability-related accommodations in the application and interview process, please call 919-515-3148. Final candidates are subject to criminal & sex offender background checks. Some vacancies also require credit or motor vehicle checks. If highest degree is from an institution outside of the U.S., final candidates are required to have their degree verified at "www.wes.org":http//wes.org. Degree must be obtained prior to start date.

NC State University participates in E-Verify. Federal law requires all employers to verify the identity and employment eligibility of all persons hired to work in the United States.

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