There are a wide range of compliance roles in universities, from the marco level to managing compliance for very specific initatives:
Director of Compliance – Athletics – Sacred Heart University
- Manage intake of the ethics and compliance mailbox and improve incident reporting and the related response processes.
- Create dashboards to track and analyze data in order to assess risks.
- Create engaging training and communications in order to simplify ethics and compliance messaging across Stanford.
- Recommend and prepare materials for board and senior management meetings.
- Perform outreach across the University to introduce the program area to the Stanford community; establish and maintain long-term relationships and become a trusted and valued partner that is viewed as a subject matter resource for ethics and compliance expertise.
- Assess ethics and compliance activities and address the adequacy and effectiveness of related policies, systems, processes, and controls across Stanford University.
- Help create and maintain policies, procedures and guidelines, and lead projects that ensure Stanford’s ongoing compliance with all applicable state and federal laws and regulations.
- Monitor current compliance/privacy trends, legislation and activities, contribute to implementing best practices.
- – Other relevant duties may also be assigned
- Bachelor’s degree or advance degree in Communications, Law, or Finance/Accounting
- 4-7 years of relevant experience in ethics and compliance, data analysis, and/or project management.
- Experience with tools/systems that support major compliance areas such as: basic computer skills, including experience with Microsoft Office Suite (especially Powerpoint), case management systems, Tableau, data analytic tools and Excel.
- Demonstrate professionalism, discretion and judgment through sound decision-making to obtain solutions through collaborative efforts with a wide-variety of offices and departments throughout the university.
- Highly effective written, oral and interpersonal communication skills to address a wide variety of sophisticated audiences.
- Expert analytical and problem solving skills; ability to compile, understand, consolidate, and synthesize diverse sources of data in order to identify and deeply understand relevant information/issues.
- Ability to influence others, teamwork and collaboration, conflict resolution, intercultural aptitude and adaptability and flexibility.
- Strong proficiency in incident management processes and related software applications
- Experience using and applying process improvement best practices/techniques, such as lean six sigma.
- Occasionally work evenings and weekends.
- Subject to and expected to comply with all applicable University policies and procedures, including but not limited to the personnel policies and other policies found in the University’s Administrative Guide, http://adminguide.stanford.edu.
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- Categories: Finance/Accounting
Position Summary
- Under the direction of the Executive Director of Compliance, the Associate Director of Compliance supports and assists in fostering and monitoring compliance with applicable federal and state laws and regulations, other legal obligations, and institutional policies and procedures governing the administration of the principal functions within Student Financial Services, other intersecting administrative offices/departments, and the relevant constituencies within the schools.The Associate Director of Compliance will help ensure that the applicable policies and procedures within the applicable offices are fully documented and adhered to.Principal Duties and Responsibilities:
- Participate in the continual review of services and planning efforts aimed at delivering compliance oversight; Execute the monthly and quarterly testing/process reviews included in the office’s Quality Assurance Program; Manage the tracker for completion of corrective action, as well as, all corresponding communications; Support the reporting of the monthly/quarterly results.
- Conduct ongoing monitoring of critical regulatory requirements and certification, including for purposes of the Federal Student Aid Program Participation Agreement; Assist in the annual development, coordination and execution of the office’s compliance plan, including managing the regulatory matrix and controls inventory.
- Assist in the interpretation of federal and state regulations, institutional policies, guidelines and professional literature; Act as a resource for others when clarification is needed; Remain current and abreast of changes to pertinent legislation and regulations; Research regulations as necessary and maintain the office’s corresponding tracker; Complete and/or provide support for impact analysis of new regulations; Disseminate accurate and timely information to the community as it relates to applicable laws and initiatives.
- Conduct reviews of institutional policies and procedures to foster compliance with the relevant federal, state and institutional requirements, as well as, to support the daily management and effective administration of Title IV and Title VII student financial aid programs; Maintain the office’s inventory of policies and procedures and the central repository of official filings; Track the completion of corrective action as it relates to incomplete or revised policies and procedures; Act as a resource for the development and review of the department’s policies and procedures.
- Track and assist in the review of all communications both at the schools and centrally to ensure compliance with the regulatory requirements, including but not limited to websites, publications, and student notifications; Support the annual review of required disclosures such as Consumer Information; Assist in the coordination with other offices/schools to ensure corrective action is taken as needed in any actual or potential instances of non-compliance; Facilitate the completion and submission of the annual communications certification by the pertinent offices.
- Work with other administrators University-wide to research compliance matters and recommend solutions, including assisting in the collection of documentation, investigation, review, and reporting.
- Participate in committees and task forces that require the active involvement of the Compliance Office.
- Assist in the RFP/RFI processes for third-party servicers including the selection and evaluation of suggested lenders, loan and payment products; loan servicers, collection agencies and others.
- Support all activities relating to both internal and external audits in which the Compliance Office participates or which it manages; Collaborate with auditing entities and other offices in the memorialization of all federal and state reporting, adoption of operating standards and effective controls, including the implementation of defined policies and procedures, and tracking of corrective action.
- Assist with presentations on compliance topics and in the development and execution of training efforts for SFS and the broader University community, including the required annual compliance training of financial aid officers and staff.
- Collaborate with operational areas in the preparation and submission of reports as required by the Department of Education or other legal requirements; Generate and review regular reports to measure the department’s compliance with regulatory requirements.
- Perform other duties and participate in projects as assigned.
Minimum Qualifications
- A Bachelor’s degree plus a minimum of 4 years related experience is required.
Preferred Qualifications
- A degree, credential or certification in accounting, auditing, or legal-related studies preferred.
- At least three years of experience in institutions of higher education (particularly in auditing, financial aid, or an intersecting function with federal or state aid programs) or in the Department of Education’s relevant functions highly preferred.
Other Requirements
- Must be knowledgeable of federal and state regulations as they relate to Admissions, Student Financial Services and the Registrar.
- Candidates should have experience with systems and processes associated with the administration of federal (Title IV and Title VII) and state aid programs, including student lending and federal reporting requirements.
- Excellent organizational, analytical, written, and verbal skills are a must. Must be self-motivated and able to balance multiple priorities and deadlines simultaneously. Ability to work with multiple offices is necessary. Time management skills are essential and some experience managing projects.
- Strong data analysis and proficiency with spreadsheets a must.
- In addition, the successful candidate must be able to work well with all levels of employees, be flexible in nature, have sound judgment with an open and collaborative style that encourages teamwork and cooperation beyond the immediate team to the broader organization. Must have a passion for excellent customer service.
Equal Opportunity Employer / Disability / Veteran
Columbia University is committed to the hiring of qualified local residents.
Develops, implements and administers compliance policies, procedures and practices in one or more UC locations. Provides compliance advice, investigates complaints and verifies that deficiencies are corrected. Develops employee communication and training. Ensures alignment with federal and state laws, and University policies and procedures. May provide advice and direction to other compliance professionals, as appropriate. Normally receives general instructions on routine work with detailed instruction on new or more complex assignments. Performs the full scope of auditing encompassing financial compliance.
Reporting to the Chief of Police, the Compliance Coordinator works collaboratively with various units at UC Santa Cruz and outside agencies to ensure the institutions compliance with the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (the “Clery Act”) and other relevant federal and state laws and regulations.
The Compliance Coordinator oversees the UC Santa Cruz Clery Act and compliance programs. This includes preparing the annual security report, identifying and training “campus security authorities,” preparing the daily crime and fire log and identifying, analyzing and classifying crimes and disciplinary referrals.
The Coordinator serves as the expert resource for the campus departments regarding all laws and regulations as outlined in the Federal Clery Act as well as laws and regulations pertaining to the processing, retention, release and disposition of campus Clery records.
This position creates campus policy, provides training and education to members of the UC Santa Cruz Police Department, as well as community members including Deans, Directors, Vice Chancellors and Associate Vice Chancellors and other high level administrators.
The Compliance Coordinator maintains expert knowledge of the Clery Act, including any and all changes to the Clery Act, and other laws and regulations affecting the Clery Act provisions and updates the department in a timely manner.
This position is also responsible for the overall management of the accreditation process for the UC Santa Cruz Police Department. This includes, but is not limited to, the advanced analysis of unique and highly complex issues involving development, implementation and maintenance of the department’s accreditation programs administered by the Commission on Peace Officers Standards and Training (CA-POST), the International Association of Campus Law Enforcement Administrators (IACLEA), and the Commission on Accreditation for Law Enforcement Agencies, Inc. (CALEA).
Employee will be a staff member of the UC Santa Cruz Police Department and therefore must pass a thorough background investigation of personal and work history, including a fingerprint check of criminal history, psychological exam, and a credit check, medical exam, and possess a valid California driver’s license. As part of the background investigation process, you may be subjected to a detection of deception examination, such as a polygraph or voice stress analysis to verify the truthfulness of information that applicants have provided on the personal history statement and to the background investigator directly.
Qualifications include:
- Bachelor’s degree in related area and / or equivalent experience / training.
- Thorough knowledge of ethics and compliance profession, theories and systems of internal control, and professional compliance and investigations standards.
- Significant demonstrated experience complying with the requirements of the Clery Act, Title IX and other workplace or higher education compliance laws.
- Significant knowledge of laws and regulations associated with the Jeanne Clery disclosure of Campus Security Policy and Campus Crime Statistics Act ( i.e. requirements for reporting crime under the Uniform Crime Report, the Jeanne Clery Act and Department of Education mandates) coupled with knowledge of other related federal, state and local laws and regularions (e.g., provisions of Sexual Assault Victim’s Bill of Rights), enforcement data base, knowledge of crime analysis and mapping systems; as well as, the process and requirements for accreditation (e.g. CA-POST, IACLEA, CALEA).
- Significant knowledge of University ethics and compliance policies, procedures and programs. Demonstrated success in policy development and writing.
Under the direction of the Interim Director of Athletics, this position is responsible for monitoring compliance with National Collegiate Athletic Association (NCAA), The City University of New York Athletic Complex (CUNYAC) and York College bylaws, rules and regulations regarding recruiting, eligibility, and admissions. This position will interpret and apply complex rules to a broad range of situations. This position will work primarily with students, coaches and administrators.
Responsibilities of all Positions at York Athletics:
- Adhere to York College, CUNYAC Conference, York Athletics, and NCAA policies and procedures.
- Maintain knowledge of departmental activities, sports schedules, and procedures.
- Foster cooperative working relationship with immediate supervisor and staff members who work within or outside the work unit.
- Support the athletics department goals and philosophies as described by the Director of Athletics and work to achieve and uphold the department’s mission statement and core values.
- Maintain a positive attitude toward performing job duties and in working with other staff members.
- Exhibit professional decorum at all times while representing York Athletics.
Position Responsibilities Include:
- Review and revise current policies and develop new policies and procedures as appropriate for recruiting-related activities.
- Coordinate institutional monitoring systems for compliance in regards to recruiting; including but not limited to off-campus recruiting activities, approval of recruiting materials, official and unofficial visit approvals.
- Manages the NCAA Compliance Assistant database and regularly updates information contained therein.
- Responsible for monitoring playing and practice seasons participation.
- Assists with the student-athlete initial eligibility process.
- Assists with tracking eligibility status of all student-athletes and communicating with coaches to ensure proper certification.
- Assists with NCAA/CUNYAC waiver process, as required.
- Ensures comprehensive rules education program.
- Responsible for the review, approval, monitoring of all promotional activities involving student-athletes and athletics department staff.
- Assist in interpreting NCAA and CUNYAC legislation for coaches and staff.
Qualifications:
- Bachelor’s Degree required, Master’s degree preferred.
- 1-3 years of experience with NCAA compliance strongly preferred.
- Knowledge of NCAA Division III rules and regulations, with a demonstrated understanding of and adherence to conference and NCAA rules and regulations.
About York College
York College, located in Jamaica, Queens is one of 11 eleven senior colleges in the City University of New York. York was founded in 1967 and enrolls approximately 8,200 students. The college offers over 40 baccalaureate degrees as well as a master’s in occupational therapy. It has been recognized for two consecutive years as the #1 U.S. College with the Lowest Student Debt by the Institute of College Access & Success. Athletically, York College is a National Collegiate Athletic Association (NCAA) Division III institution and is a member of the City University of New York Athletic Conference (CUNYAC). The Cardinals are also a member of the Eastern College Athletic Conference (ECAC) and supports 17 varsity sports.
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Equal Employment Opportunity
CUNY encourages people with disabilities, minorities, veterans, and women to apply. At CUNY, Italian Americans are also included among our protected groups. Applicants and employees will not be discriminated against on the basis of any legally protected category, including sexual orientation or gender identity. EEO/AA/Vet/Disability Employer.
Job Type: Part-time
Experience:
- relevant: 1 year (Preferred)
Education:
- Bachelor’s (Required)