Assistant Compliance Officer

Job Details

Assistant Compliance Officer

Facility Security & Export Control

Office of Research, Innovation & Economic Development, Division of Research Integrity & Assurance

Job Summary/Essential Job Functions

This position combines four Compliance Areas: Export Control, Facility Security, Research Conflict of Interest, and Research Integrity. The Export Control Compliance program serves faculty, staff, and students involved in research activities. It has the primary responsibility of ensuring the University abides by the federal regulations governing the export of sensitive technology, equipment, or computer source code to foreign nationals for varied reasons, the most important being to protect the national security and foreign policy interests of the United States.

The Assistant Compliance Officer reports to the Facility Security Compliance Officer and is responsible for implementing corporate and government security policies and procedures related to classified and sensitive government information on federal law enforcement contracts, implementing, communicating, and monitoring export control policies and procedures, as well as the Export Control Management Program for the University of Tennessee Knoxville. This position also works with Research Integrity to implement and track responsible conduct of research education and in an administrative capacity to support the University’s processes to uphold research integrity. This position is highly technical, and the ideal candidate must be a motivated individual with a strong understanding of cyber security. The candidate should have the ability to provide technical advice and design and implement an effective monitoring program for Export Control in close connection with the University Export Control Compliance Officer. The Assistant Compliance Officer is primarily responsible for ensuring the University’s compliance with federal regulations governing the export of sensitive technology, equipment, or computer source code and serves as a point of contact for internal inquiries regarding export control compliance. This position also works with outside consultants and liaises with the respective government agencies for compliance with the International Traffic in Arms Regulations (ITAR) under the auspices of the U.S. Department of State; the Export Administration Regulations (EAR) under the auspices of the U.S. Department of Commerce; and the Office of Foreign Assets Controls (OFAC) regulations under the auspices of the U.S. Department of Treasury.

Duties and Responsibilities

Assistant Facility Security Officer (AFSO)

•  Ensure compliance with Defense Counterintelligence and Security Agency (DCSA) regulations.

•  Coordinate clearance applications for university officials conducting or over-seeing classified research.

•  Maintain facility clearance (DOE and DOD as applicable).

•  Maintain the university's secure research programs.

•  Serve as a resource to faculty on security matters.

•  Processing and maintenance of personnel security clearances via JPAS and eQIP appropriate IT systems and ensure that security personnel records are accurate and complete.

•  Communicate with clients and researchers as to the status of pending security applications and the verification of active clearances.

•  Prepare and maintain reports related to pending and active security clearances.

•  Communicate with industrial security representatives, Department of Defense sponsors, and Department of Energy sponsors on annual assessments, inspections, reviews, investigations, and other reportable issues and will ensure the following actions are performed in accordance with National Industrial Security Program Operating Manual (NISPOM) and other applicable government requirements.

•  Responsible for developing and administering security programs and procedures for handling classified and/or proprietary materials, documents, and equipment, as applicable.

Assistant Export Control Officer

• Advise, educate and consult with University administration, faculty and staff at all levels to ensure compliance with the International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), the Office of Foreign Assets Controls (OFAC) regulations and other import/export laws.

• Proposal and contract review with export control issues. Write export control determinations and after consultation with researchers or contract negotiators.

• Responsible for security of export controlled information on campus. Interacts with several UT departments to secure computers and offices.

• Determine equipment classifications, license exceptions and exemptions; manage daily activities; determine requirements for embargoed and sanctioned countries; screen end users and countries; partner with other University operations to ensure compliance;

 • Provide education and awareness programs

• Present training on Export Control and facilitate discussion groups at national research conferences.

• Assist ECO and FSO with internal control audits and preparation of necessary disclosures

• Assist with drafting and submission opf license applications and institutional registrations; obtain commodity jurisdiction and classification determinations from Department of Commerce and State;

• Maintain centralized export controls management, storage and retention plan with database.

• Serves as liaison between federal governmental and investigative agencies with ECO in all Export Control matters.

• If there is a federal investigation, serves as a primary contact for information and may testify in court.

• Stay current in International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), and the sanctions on countries by the Department of the Treasury.

• Research case law relevant to export laws, boycotted countries, deemed exports, higher education, etc.

• Respond to new legislation in export control law when called to do so by any one of the federal agencies, e.g. Department of Commerce.

• Assist in development of content for the UTK Export Control web site. Coordinate with the webmaster to update as needed.

Research Integrity and Conflict of Interest

• Monitors and ensures research compliance with responsible conduct of research training requirements and records.

• Assists in outreach initiatives for in person training related to responsible conduct of research.

• Manages administrative tasks associated with the successful implementation of University policies in responsible conduct of research.

• Prepare information for review by the faculty-led RCOI Committee as required.

• Administers the Visitors Engaged in Research program policy and processes for the Knoxville campus and the University of Tennessee Institute of Agriculture.

• Provides additional research security support for new research security programming.

Required knowledge, skills, and abilities

• A good knowledge of research and the university environment.

• Must possess excellent written and interpersonal communication skills.

• Demonstrated ability to make independent judgments regarding the interpretation and application of U.S. Export Control Regulations.

• Possess high degree of sensitivity to confidential matters.

• Team player; ability to work independently while meeting deadlines, able to handle high case loads.

• Practical knowledge of U.S. Export Control laws and how to apply them in the university arena.

• The FSO must be a citizen of the United States, and must to be vetted at the appropriate level as a part of the facility security clearance (personnel security clearance investigation).

• Good knowledge of research and the university environment.

• Demonstrated ability to make independent judgments regarding the interpretation and application of U.S. Export Control Regulations.

• Skills in implementation of information security.

• Possess high degree of ability to handle sensitive and confidential matters.

• Ability to work independently while meeting deadlines and the ability prioritize needs while handling multiple sensitive tasks.

• Must be a citizen of the United States, and must have the ability to be vetted at the appropriate level as a part of the facility security clearance (personnel security clearance investigation).

• Ability to interpret government regulations and experience in a highly regulated environment.

Preferred knowledge, skills, and abilities

• Experience with human subjects research.

• Experience conducting and coordinating educational events (ie workshops, conferences, virtual trainings, etc.).

• Detailed understanding of computer security with the ability to be a liaison between faculty or staff research requirements and other information technology groups.

Required level/type of experience and/or years of experience

The position requires a Bachelor's degree and 3-5 years of related experience in the areas of export control with substantive and working knowledge of the export control regulations and federal government contracting, as well as knowledge

Preferred level/type of experience and/or years of experience

• Master's or doctoral level degree in scientific discipline with one year of compliance experience.

• Experience as a liaison between faculty or staff conveying research requirements for information technology.

Additional Information

Please attach the following electronic documents to the application:  Cover letter, resume, and the names, addresses (postal and electronic), and telephone numbers of at least three references.


Job: Other Professional
Primary Location: US-Tennessee-knoxville
Organization: Office Of Research Innov & Econ Develop
Schedule: Full-time
Job Posting: Jun 30, 2022, 11:49:48 AM


Working at The University of Tennessee, Knoxville

Founded in 1794, the University of Tennessee is one of the nation’s oldest and most storied public universities. Based in Knoxville, Tennessee’s flagship land-grant institution includes the statewide Institute of Agriculture and the Space Institute in Tullahoma. The university embodies excellence in teaching, discovery, scholarship, research, creative activity, outreach, and engagement. Known as the Volunteers, we lead with a spirit of selflessness, empathy, and courage, and strive to be champions for diversity, equity, and inclusion

UT Knoxville is a Research 1 university with 11 academic colleges and more than 900 programs of study. With an enrollment of more than 30,000 students, our academic programs are repeatedly ranked top in their class. The university co-manages Oak Ridge National Laboratory, the country’s most prominent national lab, driving innovation in advanced manufacturing and materials, national security, and more. We are closely connected with our communities through outreach and extension efforts across Tennessee and through partnerships with non-profits, corporations, and industries—regionally, nationally, and around the globe.

The city of Knoxville is nestled in the foothills of the Great Smoky Mountains. The modern, thriving community is surrounded by gorgeous lakes and hundreds of miles of walking, hiking, and biking trails. Situated along the banks of the Tennessee River, our beautiful features an eclectic music scene, internationally recognized festivals, unique restaurants, and a robust offering of diverse cultural activities. Knoxville is located within a day’s drive of Atlanta, Nashville, Asheville, Charlotte, Louisville, Cincinnati, Memphis, Chicago, and Washington D.C.

Knoxville and the surrounding counties have a population of more than 850,000 people. The region houses many leading corporations and organizations, including Oak Ridge National Laboratory, Pilot/Flying J, the Tennessee Valley Authority, and Regal Cinemas, along with HGTV, Food Network, and other networks owned by Discovery Inc.

As a member of the UT family, you will be surrounded by top-notch faculty, staff, and students from around the world. You will be part of a diverse campus community that is passionate about changing the world and cheering for the Vols on game day.

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