Here are sample job postings for University & College Compliance roles...


Compliance Officer

Delaware State University

Requirements:

Primarily responsible for overseeing all compliance issues for the University’s sponsored research (pre and post award) to include facilitating, coordinating and assisting in the administration, dissemination and monitoring of grant/contract funds from external agencies. The position requires expertise in grant compliance and management, granting agencies/guidelines and policies, and federal rules and regulations.

Reports to: Director, Office of Sponsored Programs (OSP)

Essential Functions

The following are the functions essential to performing this job.

1. Facilitate, coordinate, and assist University staff with the management and monitoring of compliance issues, rules and regulations of local, state and federal grant funds.

2. Coordinate all pre and post-award compliance requirements (i.e. Human Subjects (Internal Review Board -IRB), Institutional Animal Care and Use Committee (IACUC), Contracts/Sub-Awards, Export Control, Responsible Conduct for Research and Conflict of Interest to ensure grant award compliances.

3. Compare, monitor, and communicate funding agency compliance requirements as they relate to DSU policy, and work closely with grant managers and Restricted Funds Accounting for consistent application.

4. Read and review grant proposals to ensure compliance with agency submission requirements.

5. Maintain a database for tracking and monitoring grant award reporting and compliance.

6. Work closely with the Office of Financial Administration and OSP staff with post-award management, A-133 audits agency, site visits and award close-out processes.

7. Work with the Assistant Director of Sponsored Programs on grant award expenditure approvals (including working with the PI and/or granting agency to acquire prior approval).

8. Monitor post -award reporting requirements and assure that reports are on file with the Sponsored Programs Office.

9. Reviews all new awards (terms and conditions), schedules post-award meetings with PI’s/PD’s and the Office of Financial Administration.

10. Work with the principle investigator to submit federal reports, extensions and additional agency required documents.

11. Act as a liaison (as needed) between DSU and funding agency program staff.

12. Develop and revise existing compliance policies and procedures, training materials and university compliance forms to demonstrate best practices in maintaining grant award compliance.

13. Assist with the development and implementation of sponsored research workshops.

14. Other duties as assigned by the Director, Office of Sponsored Programs.

Required Knowledge, Skills, and Abilities

1. Demonstrate the ability to communicate effectively using oral and written skills.

2. Knowledge of federal funding agencies and grant requirements.

3. Skilled and able to work with a diverse group of faculty and administrators.

4. Availability to travel to conferences and workshops (25-30% travel required).

5. Availability to attend and complete the Grants Management Certification Program (100% travel).

6. Knowledge of electronic submission and grant award management portals and processes (grants.gov, NSF Fastlane, Research.gov and e-Commons).

Qualifications:

Master’s Degree with at least 3 to 10 years of experience in higher education sponsored research (pre/post award and compliance).

Delaware State University is an equal opportunity, Title IX Employer and does not discriminate against persons on the basis of race, religion, national origin, sexual orientation, gender, marital status, age or disability.


Director of Compliance

North Dakota State University

Under the supervision of the Sr. Associate Athletic Director/Senior Woman Administrator, this position is responsible for assisting with the development and implementation of a comprehensive athletics compliance program.

Responsibilities include, but are not limited to:

  • Provide rules interpretations and application of NCAA legislation to internal and external constituents.
  • Monitor compliance activities of coaches, staff and student-athletes to ensure adherence to NCAA and conference rules and regulations.
  • Maintain data and documentation related to all aspects of a comprehensive rules compliance program.
  • Provide rules education to internal and external constituents.
  • Maintain a high level of confidentiality and demonstrate a constant commitment to integrity.
  • Assist with monitoring and certification for initial and continuing eligibility related to practice, financial aid and competition.
  • Coordinate institutional grant-in-aid offers and monitor student-athlete financial aid while working closely with the NDSU Financial Aid and Scholarships department.
  • Coordinate official visit approval process.
  • Conduct fall team meetings to complete necessary NCAA forms prior to countable athletically related activities (CARA).
  • Monitor ARMS software
  • Assist with NCAA waivers and reports of NCAA infractions.
  • Work with all 16 sports and coaching staffs.

Qualifications:

  • Bachelor’s degree
  • Two years of experience working with the athletics compliance department at an NCAA Division I institution, conference, or national office
  • Strong interpersonal, oral and written communication skills
  • Strong organizational and detail-oriented skills
  • Understanding of and experience with the NCAA online applications (e.g., RSRO, CAi)
  • High level of integrity and character

Preferred Qualifications:

  • Two or more years of professional experience working with an NCAA Division I athletic compliance department.
  • Comprehensive knowledge and experience with NCAA financial aid regulations
  • Recruiting (e.g., ARMS) software experience
  • Strong computer skills and experience with PeopleSoft, Banner or similar institutional software programs
  • Experience as a student-athlete or coach at the Division I level

Debt Compliance Specialist

University of Illinois at Chicago

The University System Office seeks a Debt Compliance Specialist to, under administrative direction, perform senior staff duties to assist in the management of the University’s post issuance compliance program, and will be primarily responsible for ensuring the University’s ongoing compliance with regulations pertaining to tax exempt bond issuances. This position will also assist in conducting credit reviews for both internal and external financing.

Additional responsibilities include:

1. Perform and monitor compliance policies, reporting requirements and procedures relating to the use of debt financed facilities according to University policy, IRS rules, and SEC regulations.

2. Maintain compliance with various disclosure requirements as required by regulators and the IRS, including annual continuing disclosures and regular compliance monitoring and reporting for SEC rule 15c2-12 such as the Continuing Disclosure Agreements, SEC Rule 15(c)2-12, and other event-based disclosures.

3. Prepare and review complex reports pertaining to bond issuances; examples include the preliminary and official statements, DBC cash flow reports, and the contribution and review of bond tax certificates.

4. Monitor and review the internal loan program and reports for policy and contractual compliance

5. Provide critical fiscal year-end support for the external audit, preparing confirmation letters, documenting covenant compliance, and producing complex financial reports

6. Ensure compliance requirements are met by updating and maintaining internal monitoring spreadsheet tools.

7. Provide analytical support on credit analysis and financial modeling projects.

  • These initiatives include developing, maintaining and documenting analytical tools and financial models using Excel spreadsheets, Access databases and other software platforms.
  • Prepare and conduct financial analyses for capital projects financed with either internal or external financing.

8. Participate in bond structuring and issuance activities as part of the University’s internal financing team, including interaction with members of the external financing team (i.e., attorneys, financial advisors and investment bankers).

9. Provide analysis and support for activities related to credit ratings, including development of presentations to ratings agencies.

10. Other duties appropriate for a Debt Compliance Specialist.

Qualifications:

Candidates must possess a Bachelor’s degree in accounting, business management, finance, economics or related field and one year of experience performing functions in the capacity of a compliance officer or auditor. Other requirements include: experience with Microsoft Office Suite, specifically Microsoft Excel; ability to handle multiple tasks simultaneously and meet deadlines with accuracy and attention to detail; excellent verbal and written communications skills to effectively interact with University and departmental officials/staff; ability to function as a member of a team; demonstrated ability to provide excellent customer service. Experience building and sustaining relationships with vendors and key service providers. Preferred qualifications include: familiarity with IRS tax code; demonstrated ability to develop creative solutions to analytical problems; working knowledge of statistical analysis; working knowledge of Microsoft Access; familiarity with Visio.