Director of Institutional Compliance - 24611BR
Director of Institutional Compliance
Director of Institutional Compliance
Department:
Integrity & Compliance
Location/Division:
University of Kansas Lawrence Campus
Work Location Assignment:
Hybrid
Reg/Temp:
Regular
Employee Class:
U-Unclassified Professional Staff
Position Overview
The University of Kansas (KU) is the state’s flagship university, an R1 institution and member of the prestigious Association of American Universities (AAU). KU has five campuses including the Lawrence campus, the Edwards Campus in Overland Park, and an Academic Medical Center with branches in Kansas City, Wichita, and Salina. As a distinguished R1 research university, KU offers world-class research programs that advance the health sciences and attract national recognition.
KU’s Office of Audit, Risk & Compliance (OARC) provides leadership and university-wide services that strengthen accountability, mitigate significant risks, investigate and resolve allegations, and reduce the consequences of non-compliance with federal and state laws. Reporting to the Associate Vice Chancellor Integrity & Compliance (AVC), the Director of Institutional Compliance contributes to the leadership of the university’s institutional compliance and ethics program and oversees development and management of its compliance risk assessment and monitoring programming. Through their strategic insight and leadership, the Director will assist in shaping and sustaining an environment of compliance at KU by proactively identifying and addressing potential areas of compliance risk.
The Director must possess a broad knowledge of compliance-related regulations to support responsible and ethical conduct by ensuring compliance with key federal and state laws and regulations, as well as university policies. The Director works closely with risk owners on all campuses to identify, assess, prioritize, and remediate compliance risks.
KU’s Office of Audit, Risk & Compliance (OARC) provides leadership and university-wide services that strengthen accountability, mitigate significant risks, investigate and resolve allegations, and reduce the consequences of non-compliance with federal and state laws. Reporting to the Associate Vice Chancellor Integrity & Compliance (AVC), the Director of Institutional Compliance contributes to the leadership of the university’s institutional compliance and ethics program and oversees development and management of its compliance risk assessment and monitoring programming. Through their strategic insight and leadership, the Director will assist in shaping and sustaining an environment of compliance at KU by proactively identifying and addressing potential areas of compliance risk.
The Director must possess a broad knowledge of compliance-related regulations to support responsible and ethical conduct by ensuring compliance with key federal and state laws and regulations, as well as university policies. The Director works closely with risk owners on all campuses to identify, assess, prioritize, and remediate compliance risks.
Job Description
50% Institutional Compliance Assessment and Monitoring Program:
25% Support of the Office of Integrity & Compliance (OIC) Program areas:
15% Leadership and Stakeholder Engagement:
10% All other duties as assigned by the Associate Vice Chancellor.
- Responsible for the development, implementation, and maintenance of the Office’s compliance assessment and monitoring activities, consistent with U.S. Sentencing Commission’s guidelines for an effective compliance and ethics program.
- Under the direction of the AVC, work collaboratively with regulatory compliance program owners and all levels of university management to coordinate risk, compliance, and ethics activities; accomplish program objectives; identify educational gaps; and facilitate mitigation of identified risks. Assist the high-risk responsible parties in the development of a risk mitigation compliance plan including monitoring and oversight controls and specialized training for those involved in the high-risk area.
- In coordination with Internal Audit as appropriate, conduct compliance reviews and perform analysis to determine compliance with applicable federal and state laws, policies, and procedures.
- In coordination with Global Risk & Security, assess red flags identified during screening activities and provide recommendations for mitigation as necessary.
- Participate in the review and revision of university policies and procedures to ensure they are adequate to mitigate risk and to prevent illegal, unethical, or improper conduct.
- Monitor data and trends to determine deficiencies and/or areas for further investigation and provide recommendations.
- Collect documentation from compliance partners annually regarding their Compliance Program Metrics and assist in determining documentation is appropriate and accurate.
25% Support of the Office of Integrity & Compliance (OIC) Program areas:
- Assist the AVC in facilitating the quarterly Campus Compliance Committee meetings. This includes preparing quarterly reports detailing compliance initiatives throughout the year as well as recommending improvements/changes in the overall compliance program for executive management consideration.
- Provide guidance, advice, and training and educational programs to KU faculty, staff, and students to improve the university’s understanding of compliance-related laws and regulatory requirements.
- Institute and maintain an effective compliance communications strategy, promoting awareness of university policy, state and federal laws that are relevant to the university, and encourage reporting of suspected non-compliance.
- Oversee, develop, and execute effective marketing and awareness campaigns to promote risk mitigation strategies and to encourage reporting of suspected non-compliance.
- Assist OIC program areas in making sure effective policies, education, assessments, prevention strategies, and corrective measures are in place to comply with the laws, regulatory requirements, and ethical standards of each program.
- Participate or chair committees to support or oversee compliance efforts for specific regulatory-related risks.
- Assist the AVC with special projects as needed.
15% Leadership and Stakeholder Engagement:
- Assist the AVC in preparing reports and presentations for the Executive Risk Committee. Provide presentations to university leadership and the ERC at the direction of the AVC.
- Monitor the regulatory landscape within higher education compliance and ethics and continuously expand subject-matter expertise.
- Participate in relevant compliance and ethics organizations, including attending meetings and conferences, participating in work groups, engaging in speaking opportunities, or performing other related activities.
- Evaluate emerging compliance trends and make recommendations to the AVC for implementing best practices to support the continuous improvement of the university’s program.
10% All other duties as assigned by the Associate Vice Chancellor.
Position Requirements
Travel Requirements: Less than 25%, in-state—primarily between KU Medical Center (Kansas City) and Lawrence campuses
Key Competencies:
Key Competencies:
- Technical Competency: subject-matter expertise in compliance matters for universities and/or academic medical centers. Understanding of compliance frameworks and their applicability to the higher education industry.
- Risk-identification: the ability to identify and assess compliance risks and navigate a decentralized control environment. Strong critical thinking and analysis skills to solve problems.
- Leadership Presence and Credibility: the ability to hold the room with senior leaders. Willingness to engage on difficult issues and hold other leaders accountable with transparency and fairness.
- Action Oriented: the ability and desire to act quickly to resolve issues and develop solutions.
- Communication: effective communication skills with internal clients, team members, peers, and senior leaders.
- Customer and Personal Service: dedication to providing high service levels to internal and external campus stakeholders.
- Utilizing Technology: understanding and expertise with the role technology plays in compliance activities.
- Law and Government: knowledge of laws and the regulatory environment that influence higher education and KU.
- Management: the ability to manage individuals with differing backgrounds and experience with a passion for developing talent and fostering opportunity and growth and in a workplace culture that is inclusive and equitable.
Required Qualifications
- A Master’s Degree and five (5) years of experience in an institution of higher education, compliance-related discipline, or comparable environment or a Doctorate Degree and three (3) years of experience in an institution of higher education, compliance-related discipline, or comparable environment;
- Strong communication, organizational and independent-analysis skills; and knowledge of compliance-related laws and regulations as they relate to a large public university, research foundation, or academic medical center as evidence by application materials and interview process.
Preferred Qualifications
- Juris Doctorate degree
- Prior experience managing complex program in a higher education setting;
- Strong strategic planning, and project management skills;
- Certified Compliance & Ethics Professional (CCEP) or certification within 12 months of hire.
Additional Candidate Instructions
In addition to the online application, the following documents are required to be considered for this position:
Update: Application review begins Friday, April 7, 2023 and will continue until a qualified pool of candidates has been identified.
- A cover letter addressing how required and preferred qualifications are met.
- Resume or curriculum vitae.
- Contact information for three professional references.
Update: Application review begins Friday, April 7, 2023 and will continue until a qualified pool of candidates has been identified.
Contact Information to Applicants
Natalie Holick
nholick@ku.edu
nholick@ku.edu
Advertised Salary Range
$120,000
Work Schedule
8:00 am to 5:00 pm, Mon-Fri
Application Review Begins
07-Apr-2023
Anticipated Start Date
01-May-2023