Job Standard for Institutional Compliance, Director

View in Google Docs/Download

 

Employee Name:

Employee ID:

Employee PCN:

How to use this Job Standard:

1. Click “View in Google Docs/Download” and download to Word.
2. The Job Overview, Level Scope, Minimum Qualifications and Essential Job Functions are specific to this job’s competencies and cannot be edited.
3. For the Job Posting you may;
   1. update/change the purpose to add in department specific information, 
   2. add key responsibilities to the 35% of the time, specific to your department needs, 
   3. add a preferred qualifications section
   4. post the position using the business title

The statements on this job standard are intended to describe the general nature of the role and level of work being performed. They are not intended to represent an exhaustive list of all responsibilities, duties and skills required of the employee.

Institutional Compliance, Director Overview

• Work Type: Professional
• Job Code: 75622
• Pay Grade: P15
• FLSA Status: Exempt
• Career Level: Director
• Family: General Administrative
• Function: Compliance

Purpose

Responsible for developing, implementing and maintaining an effective institution-wide compliance and ethics program designed to prevent, monitor, detect and respond to non-compliance. Oversee university policy manager.

Level Scope

Oversees through subordinate Managers a large, complex organization with multiple functional disciplines/occupations, OR manages a program, regardless of size, that has critical impact upon the campus. Significant responsibility for formulating and administering policies and programs, manages significant human, financial, and physical resources, and functions with a very high degree of autonomy. Frequently influences business decisions made by senior leadership. Oversees through subordinate Managers the accountability and stewardship of campus resources and the development of systems and procedures to protect organizational assets. Negotiates and influences others to understand and accept new concepts, practices and approaches.

Minimum Qualifications

Bachelor’s degree or equivalent plus 8 years experience including 5 years managerial

Knowledge, Skills, and Abilities

• Self-motivated
• Excellent organizational skills
• Excellent communication skills
• Attention to detail
• Ability to build relationships and work diplomatically with individuals who report up to other supervisors, deans and directors

Essential Functions

Key Responsibilities

60% of Time the Institutional Compliance,  Director must:

• Maintain organizational compliance program that meets the requirements of an effective Ethics and Compliance program as defined by Federal Sentencing Guidelines
• Develop an annual work plan to address high-level compliance related risks identified through assessment programs.
• Develop, coordinate and participate in educational and training programs to enhance awareness of compliance requirements and responsibilities.
• Follow the training programs with an audit program to ensure that the functional offices are conducting their operations in compliance with applicable requirements.
• Develop and maintain an institutional compliance and ethics guide designed to emphasize the responsibility of all University employees to be aware of and perform duties in compliance with all applicable federal and state laws and regulations of the State Board of Education and University policies and procedures.
• Chair an operational compliance committee composed of cross-divisional university members. Assist members in understanding compliance requirements and ensure appropriate compliance practices are in place.
• Co-chair an executive level compliance committee composed of cross-divisional university members. Ensure members are aware of compliance activities, particularly compliance gaps that may exist in high-risk areas and significant instances of non-compliance. Seek member input when prioritizing risks and developing annual work plans.
• Design and administer a timely and accurate system for completing mandated forms, reports, assessments and audits as required by various agencies.
• Provide Chief of Staff and VP for University Affairs with an annual consolidated compliance report.
• Provide leadership, training, evaluation of staff members. Plan lead work, delegate work and evaluate work/performance as necessary.
• Manage allocated budget.

35% of Time the Institutional Compliance,  Director

Determined by department needs

5% of Time the Institutional Compliance,  Director

Perform other duties as assigned

Work Environment and Physical Demands

This position is generally in a normal indoor office setting with minimal noise levels and may involve bending, moving, lifting, and carrying materials that weigh up to15 pounds.

Travel Requirement

May have some travel with overnight stay.

Career Path

Additional training/education or equivalent experience, as well as business need, are required for movement into higher level jobs.

Disclaimer

Incumbents must perform the essential duties and responsibilities with or without reasonable accommodation. The above statements are intended to describe the general nature and level of work.  Final employment offers are  contingent upon a Final Candidate’s successful completion of a Background Verification, and a determination by the University that the information derived from the Background Verification does not disqualify the individual.  In addition, a Financial History Check and Motor Vehicle Record (MVR) Check may be required.