Job Announcement, Posted November 18, 2013
The Director of University Compliance will be responsible for the development, implementation, operation, and oversight of an enterprise-wide compliance program at UNC Charlotte to ensure the institution’s full adherence to the legal, ethical, and regulatory obligations imposed by all levels of government and other oversight agencies, including the NCAA and educational accrediting bodies.
The Director’s responsibilities will include implementing appropriate processes and procedures to ensure all aspects of University-wide compliance, including coordination of campus units responsible for compliance, internal and public communications, working with affected units and university administration to remediate compliance deficiencies, and evaluation of compliance risks. The Director is also responsible for promotion of an institutional environment that supports observance of the highest ethical standards of conduct by those who work for the University or on its behalf.
In carrying out the work described above, the Director will establish and Chair a University Compliance Council which, among other things, will identify areas of compliance vulnerability and risk, and will identify the resources necessary to address those areas as part of the University’s annual budgeting process. The Director will assist the existing University compliance operations in establishing methods to improve efficiency and quality of services, and to reduce vulnerability to fraud, abuse, and waste.
The Director will be responsible for developing and maintaining structures and processes to ensure adherence to the comprehensive master compliance calendar that has already been developed by the Office of Legal Affairs. The Director will work with members of the Legal Affairs staff to ensure the timely additions, deletions, or other changes in the calendar. In concert with the Legal Affairs staff, the Director will assist in the interpretation of amended, new, or proposed laws or regulations from all levels of government that may have implications for the University’s compliance program, and as appropriate will advise the UNC General Administration through UNC Charlotte’s Special Assistant for Constituent Relations.
The Director will develop, implement, and publicize a system whereby the University’s employees and agents or others may report or seek guidance regarding reporting potential or actual criminal conduct, fraud or other forms of improper behavior without fear of retaliation. The Director will promote the University’s compliance and ethics program and will ensure that it is enforced consistently throughout the organization through: (1) appropriate incentives to perform in accordance with the compliance and ethics program; and (2) working with University staff to determine appropriate disciplinary measures for engaging in criminal or other non-compliant conduct and for failing to take reasonable steps to prevent or detect such conduct.
Working with the Legal Affairs staff, the Director will also review existing systems for responding to compliance violations, including investigatory procedures. The Director will receive copies of all internal audit reports and will work closely with key managers to identify compliance problems.
The Director will also work with the Office of Internal Audit to assess performance in specific compliance areas and to help develop the Auditor’s annual audit plan. In concert with Internal Audit, the Director will develop and maintain a system of performance benchmarks for compliance as part of the University’s overall system for monitoring institutional effectiveness and will periodically evaluate and report on the effectiveness of the University’s compliance and ethics program.
The Director will also collaborate with the Office of Risk Management on risk management issues around the institution to minimize the prospect of duplication of efforts ensuring an integrated approach to identifying and addressing compliance risks.
Working with others in the Office of Legal Affairs, the Director will generally be the primary contact in responding to government investigations and queries. The Director will respond promptly to detected compliance issues, will develop corrective actions, will ensure to the extent possible that no retaliation occurs in regard to the reporter of such offenses, and will report findings to the Vice Chancellor for Legal Affairs and General Counsel, Chancellor, and the Board of Trustees Committee on Audit and Compliance. In appropriate cases, the Director will also be responsible for reporting findings to the relevant governmental agency or body.
The Director will develop, coordinate, and participate in a multifaceted educational and training program that focuses on the elements of the compliance program, and seeks to ensure that all appropriate employees and management are knowledgeable of, and comply with, the aforementioned legal, ethical, and regulatory obligations. The Director will maintain adequate records of all such training provided within the University. The Director will promote professional development and training of individuals on campus who have compliance responsibilities, including participation in professional association activities and conferences, on-line education, course training modules, etc. The Director’s responsibilities will also include the education of Trustees on major issues of institutional compliance, particularly in those areas where the Trustees have oversight responsibilities.
The Director will serve as the university’s Title IX Coordinator and in that role will ensure that the University meets all its obligations under Title IX of the Educational Amendments of 1972 and 34 C.F.R. Part 106. As Title IX Coordinator, the Director (a) monitors University policy in relation to Title IX; (b) insures that the University has adequate grievance procedures for resolving complaints under Title IX, including notification, investigation and disposition of complaints; (c) provides educational materials and training for the campus community; (d) oversees and coordinates investigations, which will be carried out by appropriate Deputy Title IX coordinators, of complaints received pursuant to Title IX; and (e) monitors all other aspects of the University’s Title IX compliance.
In the conduct of his/her responsibilities, the Director will have direct access to the Chancellor and to the Board of Trustees' newly-established Committee on Audit and Compliance. On a day-to-day basis, the Director will be housed in and report to the Vice Chancellor of Legal Affairs and General Counsel. The Director will report on a regular basis to the Board of Trustees Committee on Audit and Compliance and to the Chancellor and the Chancellor’s Cabinet on the progress of development and implementation of the compliance program.
MINIMUM QUALIFICATIONS
- Master's degree in an appropriate specialization combined with four years of relevant experience, or
- J.D. combined with four years of relevant experience, or
- Bachelor's degree in an appropriate specialization and eight years of relevant experience.
PREFERRED QUALIFICATIONS
- Master's, Doctoral, or Juris Doctorate degree. Experience in higher education compliance at a large research university and a working knowledge of laws and regulations in the following areas: research, athletics, civil rights, disability, Clery Act, privacy and academic health center compliance concerns.
- Compliance and/or Ethics Professional Certification.
- Experience in operationalizing compliance-related responsibilities.
- A minimum of 10 years of experience in university environment or highly regulated industry with compliance program-related responsibilities and demonstrated track record of having increasing responsibilities.
- Demonstrated ability to advise senior management and governing board on enterprise-level compliance risks.
- Strategic analytical capabilities.
- Excellent oral and written communication skills including the ability to communicate complex compliance issues to any faculty, staff, supervisors and/or university officials; excellent education and training skills; and excellent ability to collaborate with others to achieve goals.
- Excellent organizational and follow-through abilities; ability to work well under pressure; and ability to facilitate the work of a team of compliance professionals.
- Ability to work with all divisions to lead and develop an environment of compliance and improved efficiency.
- Ability to collaborate, with a focus on audit and enterprise risk management.
- Demonstrated ability to effectively design and implement compliance department operations; ability to de-construct complex legal requirements and create compliance policies and procedures that are clear, effective, succinct, and sustainable; and demonstrated knowledge/ability in compliance process improvement.
- Knowledge of the operation of the UNC system, and specifically the operation of UNC Charlotte.
UNC Charlotte is an AA/EEO employer. Candidates are subject to a criminal background check.
Salary is commensurate with the skills and experience of the successful candidate.
Post cover letter, résumé, and three references at: https://jobs.uncc.edu/applicants/jsp/shared/Welcome_css.jsp
Review of applications will begin immediately and will continue until the position is filled.