Compliance And Policy Specialist (6232U) 17678

University of California, Berkeley
San Francisco
Closing date
Jul 17, 2033

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Administrative Jobs
Institutional & Business Affairs, Assessment, Accreditation & Compliance

Job Details

Compliance And Policy Specialist (6232U) 17678 About Berkeley

At the University of California, Berkeley, we are committed to creating a community that fosters equity of experience and opportunity, and ensures that students, faculty, and staff of all backgrounds feel safe, welcome and included. Our culture of openness, freedom and belonging make it a special place for students, faculty and staff.

The University of California, Berkeley, is one of the world's leading institutions of higher education, distinguished by its combination of internationally recognized academic and research excellence; the transformative opportunity it provides to a large and diverse student body; its public mission and commitment to equity and social justice; and its roots in the California experience, animated by such values as innovation, questioning the status quo, and respect for the environment and nature. Since its founding in 1868, Berkeley has fueled a perpetual renaissance, generating unparalleled intellectual, economic and social value in California, the United States and the world.

We are looking for equity-minded applicants who represent the full diversity of California and who demonstrate a sensitivity to and understanding of the diverse academic, socioeconomic, cultural, disability, gender identity, sexual orientation, and ethnic backgrounds present in our community. When you join the team at Berkeley, you can expect to be part of an inclusive, innovative and equity-focused community that approaches higher education as a matter of social justice that requires broad collaboration among faculty, staff, students and community partners. In deciding whether to apply for a position at Berkeley, you are strongly encouraged to consider whether your values align with our Guiding Values and Principles, our Principles of Community, and our Strategic Plan.

Application Review Date

The First Review Date for this job is: May 6, 2021

Departmental Overview

The Office of Ethics, Risk and Compliance Services (OERCS) at the University of California, Berkeley serves as an independent, objective internal resource to the Chancellor, Chief Ethics, Risk, & Compliance Officer and the Compliance Enterprise Risk Committee. Reporting to the Campus Ethics and Risk Compliance Officer (CERCO), OERCS is responsible for coordinating and monitoring the University's ethics, compliance, and enterprise risk management (ERM) activities, providing senior management with a cross-functional, emerging view of risks, leading to more informed strategic decisions, better allocation of resources, and stronger governance practices. OERCS assists functional managers in developing programs and processes to mitigate material risks, comply with laws, regulations, and policies, and adhere to the ethical standards of the University.

Reporting to the Deputy Compliance Officer, the incumbent provides high level advice, guidance and decision making on behalf of the CERCO and Deputy with regard to campus' administration and implementation of the Systemwide Ethics and Compliance Program. This is a participative, hands-on role. The incumbent will work independently under clear deadlines, will manage competing priorities, and must handle multiple tasks efficiently. The ability to collaboratively interact with staff (at all levels of the organization) in a fast-paced environment, demonstrating a high level of confidentiality and discretion is crucial to this role.


Policy Administration
  • Administers Campus Policy and Procedure Program. Includes review, update, monitoring for compliance.
  • Proposes revisions in policies to reflect changes in legislation, University philosophy, practice or guiding principles.
  • Coordinates timely review and update of policies and procedures to ensure compliance with changing regulations, UC policies, procedures and processes.
  • Ensures policies and procedures are properly vetted, approved and communicated, and assists campus constituents with appropriate roll- out, communication and training of policy and procedure requirements.
  • Provides consultative services to campus constituents on policy development, including drafting, editing & finalizing documents, and policy roll-out.
  • Represents campus at system-wide policy manager calls and meetings.

Ethics & Compliance Projects
  • Leads ad hoc committees, monitoring and reporting of compliance risk activities.
  • Oversees data monitoring for campus Ethics and Compliance Program (ECP).
  • Supports campus annual risk assessment process and compliance risks work plan.
  • Extracts and analyzes various data and trends; develops metrics, dashboards, and reports for Leadership and Office of the President; and provides information for compliance reporting.
  • Researches and analyzes issues, complaints and concerns at all levels of complexity and may lead an ad-hoc team or workgroup to facilitate risk issue recommendations for mitigation.
  • Implements courses of action according to established policies and procedures, and recommends development of policies, procedures and training when gaps are identified.
  • Ensures that Ethics and Compliance plans and reports are completed properly, timely and disseminated to appropriate groups.
  • Ensures high risk compliance issues are appropriately escalated to management council and executive leadership.
  • Regularly develop dashboards and presentations of key ethics and compliance related data for management. Manage various committee meeting cadence, materials, and records.
  • Solid understanding of governance framework in order to anticipate needs of Compliance Enterprise Risk Committee (CERC) senior leaders.

Website & Data Management
  • Maintains Office of Ethics, Risks and Compliance, Compliance Portal, & Campus-wide policy websites.
  • Conduct surveys, data accumulation and analysis. Participates on and may lead committees to serve as a resource for reports, analyses, website content and improvement. Summarizes and provides results on survey, data accumulation and risk assessment analysis.
  • Ensures that Ethics and Compliance reports are properly grouped and maintained in the appropriate database(s).
  • Trains, advises and assists others in the use and maintenance of the database.

Education & Training
  • May lead workgroups and committees on issues with moderate scope and impact.
  • Ensures that Ethics and Compliance training and systems are maintained, updated, and communications are appropriate.
  • Trains, advises and assists others in the use and maintenance of the database(s) and systems.

Delegations & Conflict of Interests
  • Work with Chancellor's office and campus units to ensure that authorities, both presidential and local, are current and further delegated as appropriate.
  • Provide draft letters to appropriate units for review. Generate notification letters initiating the 30-day countdown that informs Designated Officials of their requirement to file a Form 700 Statement of Economic Interests with UC Office of the President

  • Participates on committees and may serve as a resource for reports and analyses on OERCS projects, websites, and data management.
  • Other duties as assigned in supporting the compliance portfolio and/or business operations of the Chancellor's division.

Required Qualifications
  • Ability to gather, organize, complete analysis and develop recommendations in the completion of assignments.
  • Strong interpersonal skills and ability to collaborate effectively with diverse groups.
  • Skills in coalescing viewpoints and facilitating outcomes in group settings. Ability to develop collaborative partnerships with key stakeholders.
  • Ability to present information in a clear and concise manner both in writing and verbally.
  • Advanced capabilities in Word, Excel and PowerPoint, including ability to create high-quality PowerPoint files suitable for sharing with senior leaders. Use of formulas and tables in Excel. Advanced proficiency in office software and use of cutting edge technology to create dashboards and management reports.
  • Bachelor's degree in related area and / or equivalent experience / training. At least 5 years of relevant experience with technology, systems and/or related experience such as complex project management.

Preferred Qualifications
  • Thorough knowledge of ethics and compliance profession, theories and systems of internal control, and professional compliance and investigations standards.
  • Broad knowledge of University ethics and compliance policies, procedures and programs.
  • Applies thorough ethics and compliance concepts and applications in the completion of assignments.
  • Strong analytical and problem-solving skills with ability to independently identify key issues, develop and implement creative solutions.
  • Proactive and highly organized with careful attention to detail.
  • Excellent communication and interpersonal and project management skills and process orientation.

Salary & Benefits

For information on the comprehensive benefits package offered by the University visit:

Conviction History Background

This is a designated position requiring fingerprinting and a background check due to the nature of the job responsibilities. Berkeley does hire people with conviction histories and reviews information received in the context of the job responsibilities. The University reserves the right to make employment contingent upon successful completion of the background check.

Equal Employment Opportunity

The University of California is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. For more information about your rights as an applicant see:

For the complete University of California nondiscrimination and affirmative action policy see:

To apply, visit

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