Assistant Director of Compliance and Ethics
6979BR
Finance & Administration


Detailed Job Description
Under the direction of the Assistant Vice President of Compliance and Ethics, the Assistant Director of Compliance and Ethics assists in the development, implementation, and monitoring of an effective and comprehensive university compliance program that includes training, policies, monitoring, data analytics, reporting, and enforcement. The Assistant Director of Compliance and Ethics will support the university's compliance efforts related to training and communications, policy development, 3rd party management including due diligence and monitoring procedures, and compliance investigations. The main areas of compliance and ethics coverage include conflicts of interest, investigations, export controls, enterprise risk management, and 3rd party management.

Responsibiities:

• Assists the Assistant Vice President of Compliance and Ethics with the implementation, development, oversight, and monitoring of the university compliance program and executes on strategic direction and priorities set out by the AVP of Compliance and Ethics.
• Assists with compliance training, outreach, and other resources to help promote a culture of ethics and compliance, and foster awareness of the university's compliance program among employees and across the university community.
• Assists in overseeing the monitoring and quality assurance elements of the university compliance program, including establishing appropriate metrics, data analytics, and reports to ensure compliance with federal, state, local, and administrative requirements, and to further promote compliance and ethics at the university. Monitors the Compliance Program's efficacy and alignment with Federal Sentencing Guidelines for effective compliance programs.
• Provides compliance, ethics, and risk consulting in business areas on key compliance issues. Collaborates with campus partners and stakeholders, including finance, HR, legal, IT, etc., to implement and monitor key compliance requirements throughout the university.
• Develops, reviews, and modifies existing policies and procedures as needed by working and collaborating with relevant departments, faculty and administration. Serves as a resource to stakeholders across the university on compliance policies and procedures as applied to situations that occur throughout the university.
• Researches and identifies compliance trends and establishes education and communication programs accordingly. Maintains currency with university policies, applicable state, federal and administrative laws, regulations, and trends impacting university compliance. Stays abreast of emerging compliance issues and their potential institutional impact.
• Participates and provides leadership in associations and committees both internal and external to the university as applicable. Assists in the completion of annual compliance program reports.
• Collaborates with university leadership to conduct compliance risk assessments to determine areas of focus and develop corrective action plans. Identifies and develops tools to assist the department with compliance efforts.
• Conducts compliance and ethics investigations and drafts necessary reports and memoranda.
• Provides counsel and oversight of the university's conflicts of interest program.
• Assists the AVP of Compliance and Ethics with the oversight of the enterprise risk management program for the university, including developing Enterprise Risk Management tools, practices, and policies to analyze and report enterprise risks, and to assist risk owners in creating a framework for responding to risks in key areas.
• Assists in developing and creating reports for the Board of Trustees regarding enterprise risk management.
• Evaluate and provide support in mitigating third-party compliance risks, including those related to affiliates, vendors, and clients via compliance-related due diligence, mandatory contractual provisions, etc.
• Assist in the coordination of university-wide initiatives to understand and apply the federal export control laws and regulations to a variety of activities throughout the university, including research and non-research-related activities that have implications for university operations.
• Compliance with all mandatory training and other university policies and procedures, and other duties as assigned by the Assistant Vice President of Compliance and Ethics to assist in the oversight of the Compliance and Ethics department.

Department/College Description
Under the direction of the Assistant Vice President of Compliance and Ethics, the Assistant Director of Compliance and Ethics assists in the development, implementation, and monitoring of effective and comprehensive University compliance program which includes training, policies, monitoring, data analytics, reporting and enforcement. The Assistant Director of Compliance and Ethics helps coordinate University-wide initiatives to respond appropriately to compliance risks and assists in fostering a culture that promotes integrity and ethical behavior in all University compliance matters.


Minimum Qualifications

• Minimum of five years of experience in compliance or other applicable area, such as governmental compliance and monitoring procedures.
• Degree in business administration, legal studies, finance or audit or similar ethics and compliance education.
• Experience working in compliance and ethics.
• Experience working with regulatory requirements, policies and codes of conduct.
• Demonstrated administrative and organizational skills and project management skills, particularly among cross-functional teams. Demonstrated skill in influencing management within multiple business, cultural and interpersonal environments.
• Ability to build consensus and communicate effectively with all levels of personnel with a combination of tenacity and tact.
• Possess analytical skills and ability to demonstrate critical thinking.
• Ability to balance and effectively prioritize numerous projects covering a variety of subject matters.
• Outstanding verbal and written communications skill required.
• Proficient with Microsoft, PowerPoint and Excel.

Professional Area:
Employment Category: Fulltime
Staff Job Function: Wage Band: 121A

How to Apply

The direct link to this posting can be found here: https://sjobs.brassring.com/

Additional Details


Rochester Institute of Technology, the 10th largest private university in the U.S., is among the worlds leading technological universities. Its 18,000 undergraduate and graduate students from all 50 states and more than 100 countries are enrolled in over 200 academic programs, including 7 interdisciplinary Ph.D. programs. A pioneer in experiential education, RIT was the first to offer undergraduate degree programs in biotechnology, information technology, software engineering, and microelectronic engineering. As home to the National Technical Institute for the Deaf, the university offers unparalleled academic opportunities and services for the deaf and hard-of-hearing. Founded in 1829, RIT has 115,000 alumni throughout the United States and around the world. RIT has been named by the Chronicle of Higher Education as one of the 'Great Colleges to Work For.' RIT is a National Science Foundation ADVANCE Institutional Transformation site, and is responsive to the needs of dual-career couples through the Upstate NY Higher Education Recruitment Consortium. For more information, visit www.rit.edu/overview/rankings-and-recognition and www.rit.edu.

As a member of the RIT community employees receive a well-balanced benefits package that offers a variety of choices and access to additional employment advantages. These benefits, combined with an employees pay, provide a total compensation package that can be tailored to meet your needs. More on RITs Benefits, Health & Wellness program can be found at: https://www.rit.edu/fa/humanresources/content/benefits-health-and-wellness

RIT does not discriminate. RIT is an equal opportunity employer that promotes and values diversity, pluralism, and inclusion. For more information or inquiries, please visit RIT/TitleIX or the U.S. Department of Education at ED.Gov







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