Assistant Director Compliance

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Assistant Director Compliance
Duties: Assists in providing strategic leadership and management for the University’s institutional ethics and compliance program, assists in the assessment of compliance readiness of various University areas at the division, department, or unit level, and works collaboratively with operational leaders in order to ensure that compliance matters are promptly handled or forwarded for follow up or response. In coordination with the Chief Compliance and Privacy Officer, serves as a key advisor to senior leadership on all compliance related issues and evaluates the effectiveness of compliance activities. This position involves embedding a culture of compliance and integrity into the University community and acts as the point person to assist units with identifying and managing compliance risk in highly regulated and targeted areas of compliance. Assists in planning, designing, developing and directing a comprehensive university-wide compliance program system for the University. Assists in implementing an enterprise risk management system for overseeing and monitoring university compliance and privacy efforts, prioritizing such efforts, performing gap assessments, and working with units to develop, review and enhance their compliance efforts and mitigation strategies. Assists in monitoring and evaluating specific compliance responsibilities and the overall effectiveness of the compliance program. Collects and analyzes data and develops metrics to measure the effectiveness of the compliance and ethics program and initiatives undertaken on behalf of the institution. Serves as a point of contact for the Ethics and Compliance Hotline and conducts preliminary assessments. Ensures timely communication, and coordination of investigations with responsible units. Works with subject matter experts to translate legal and regulatory requirements into Privacy policies, procedures and advisories. Investigates and/or supports the investigation of Compliance investigations to include privacy incidents, complaints, or allegations of privacy breaches, and recommend mitigation strategies and corrective action. Escalates significant Privacy issues to the Chief Compliance and Privacy Officer and provide regular updates regarding the University’s privacy program through status updates, board reports, executive summaries and other communication mechanisms as requested and needed. Establishes effective working relationship and partnership with faculty, and University senior leaders to build credibility and promote a culture of ethics and compliance. Designs, develops and conducts specialized education and training programs. Ensures that the University’s actions meet the standards of State and Federal Law and regulations. Researches how to effectively address compliance related issues of University-wide applicability including in high risk compliance areas such as sponsored research, financial aid, intercollegiate athletics, data privacy and security, records retention, etc. and develops recommendations on how best to address any compliance gaps, inquiries and concerns. Performs compliance related assessments, reviews, investigative work, monitors activities, and other duties, such as, determining the presence of internal controls and reliance on organizational structures. With the Chief Compliance Officer, develops the Office of Compliance infrastructure for future growth including a system of filing, tracking inquiries, and other compliance projects and initiatives. Maintains a broad understanding of federal and state laws and legislative initiative and executes the Framework in all areas of Privacy for the University; including HIPAA, FERPA, GLBA, GDPR, Red Flags, PCI DSS, Veteran Affairs, IRB and research related privacy issues. Works closely with other staff members in Compliance, Internal Audit, and the Office of the General Counsel to ensure a cohesive approach to the mission and vision of the Office of Compliance.

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