Assistant Vice President, Institutional Compliance, Internal Audit and Enterprise Risk Management
Company: College of Charleston
Posted on: April 1, 2021
Assistant Vice President, Institutional Compliance, Internal
Audit and Enterprise Risk Management This role integrates the
internal audit and risk assessment functions for the University,
the Enterprise Risk Management program that emanates from the
internal auditors' triennial risk assessment which in turn informs
the internal audit plan, and the University's efforts to ensure
compliance with the regulatory environment within which we operate.
The overall mission of the Office of Compliance is to promote an
organizational culture and support a formal compliance program that
encourages ethical conduct, a commitment to compliance with the law
and University policies, and accountability for these obligations
in furtherance of the University's values and pursuit of eminence.
The purpose of the Internal Audit function at the University is to
provide the Board of Trustees and senior University administration
with an independent assessment of the University's system of
internal controls. Internal Audit examines and evaluates the
controls in place to safeguard University assets, evaluates the
effective use of resources, reviews compliance with policies,
procedures, laws and regulations to protect the research and
teaching mission of the University. The Enterprise Risk Management
program is informed by these efforts and creates a uniform process
for evaluating the key risk areas identified in the Internal
Auditor's triennial risk assessment. The output of this program is
presented to the Board of Trustees Audit Committee, and informs
discussions with the Committee, as well as the internal audit
- Reporting directly to the Vice President and Chief Financial
Officer as well as the Chair of the Audit Committee of the Board of
Trustees, responsible for the design, organization and management
of University-wide programs of Compliance, Enterprise Risk
Management (ERM) and Internal Audit.
- Chair the University's Integrated Enterprise Risk Management
and Compliance Committee, focusing on compliance-related strategic
risk/priority-setting. Prepare reporting for the Audit Committee on
- Work with officers, deans, senior managers, faculty, and staff
to advance the University's compliance and internal control
- Lead the programs monitoring compliance and risks identified
through the ERM program in a decentralized University environment;
collaborate with the University of Chicago Medical Center (UCM) on
ERM harmonization for areas of shared risk.
- Accountable for maintaining an understanding of regulatory
trends, changes in compliance, and regulatory guidelines that
affect the University.
- Responsible for development and maintenance of ERM and
Compliance methodology and processes.
- Lead Integrated ERM and Compliance Committee meetings and
govern or serve on working groups for focused analysis and
development of risk management/remediation plans.
- Develop annual goals/workplan for the Compliance program and
Enterprise Risk Management programs and report on progress to
- Oversee remediation action plans.
- Manage the University's Whistleblower Hotline (hosted by NAVEX)
and compliance inquiries received through other channels, including
ensuring appropriate follow-up. Collaborate with the University's
Office of Legal Counsel on the same.
- Work with the University's outsourced internal audit firm to
anticipate and aggressively manage operational, financial, and
compliance risks; help ensure the integrity of the University's
system of internal controls; and help ensure strong stewardship and
accountability at all levels.
- Maintain and update a University Compliance Matrix to ensure
appropriate Unit-level ownership.
- Assist with identification of new regulatory changes and
development of/revisions to policies.
- Evaluate and support compliance training and education across
- Provide ongoing communication and enhanced publicity regarding
the University's Compliance program including the code of conduct,
ComplianceMatrix, and Whistleblower Hotline.
- Identify areas for targeted compliance and/or internal audit
reviews. Track remediation efforts and implementation plans for
compliance and internal audit to help ensure implementation.
- Review comprehensive, technical reports and prepare summary
presentations regarding risk, audit findings, and recommendations
for Board and senior management.
- Coordinate and assemble all materials for the Audit Committee
of the Board of Trustees and serve as staff to the Audit
- Performs other related work as needed.
- Work successfully in a higher education setting and collaborate
with stakeholders across the institution.
- Effective written and public speaking skills.
- Project management skills, analytical ability, interpersonal
skills supported by a strong attention to detail.
- General understanding of university/research compliance and
- Strong presentation/PowerPoint development skills, including
experience presenting to committees of senior executives and
- Demonstrated enthusiasm and motivation, with the capacity to
learn to build on skills.-- Additional Requirements??
- Bachelor's degree in accounting, business or a related field
- JD, MBA or Masters in Accounting or related field required.
- At least 10 years' compliance experience including in-house
experience managing a compliance program required.
- Working knowledge with an internal audit function of a large
- Background in higher education or advising institutions of
higher education. Internal Number: JR10192 About University of
Chicago The University of Chicago is an urban research university
that has driven new ways of thinking since 1890. Our commitment to
free and open inquiry draws inspired scholars to our global
campuses, where ideas are born that challenge and change the
world.We empower individuals to challenge conventional thinking in
pursuit of original ideas. Students in the College develop
critical, analytic, and writing skills in our rigorous,
interdisciplinary core curriculum. Through graduate programs,
students test their ideas with UChicago scholars, and become the
next generation of leaders in academia, industry, nonprofits, and
government.UChicago research has led to such breakthroughs as
discovering the link between cancer and genetics, establishing
revolutionary theories of economics, and developing tools to
produce reliably excellent urban schooling. We generate new
insights for the benefit of present and future generations with our
national and affiliated laboratories: Argonne National Laboratory,
Fermi National Accelerator Laboratory, and the Marine Biological
Laboratory in Woods Hole, Massachusetts.The University of Chicago
is enriched by the city we call home. In partnership wi ... Show
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Keywords: College of Charleston, New Bedford , Assistant Vice President, Institutional Compliance, Internal Audit and Enterprise Risk Management, Executive , Falmouth, Massachusetts
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