About the Office of Compliance
The University established the Office of Compliance to provide central oversight over the many various University compliance and regulatory related processes. Leading the department is the Compliance Specialist, who reports administratively to the Associate Vice President / Chief Human Resources Officer.
The Office of Compliance is ideally kept abreast of any identified compliance-related risks by stakeholders, or reports of compliance concerns by members of the University community. The Office of Compliance participates with applicable stakeholders in the investigation and resolution of compliance issues to assure that appropriate subject matter experts are involved, and that effective, reasonable corrective actions are taken which address root causes.
To be most effective, the Office of Compliance relies on a dotted-line reporting structure whereby University compliance stakeholders report significant compliance issues, particularly those that pose a financial or reputational risk to the University, to the Office of Compliance.
Additional responsibilities of the Office of Compliance include:
- Coordinate and monitor the processes and activities that comprise the University’s compliance program
- Assist members of the University community in identifying, understanding, and meeting compliance obligations
- Provide safe, anonymous and effective mechanisms for raising compliance questions or concerns
- Assist compliance stakeholders in the development of policies and procedures
- Maintain the University’s policy library
- Manage the University's Conflict of Interest (COI) reporting process
- Assure the personal data of members of the USA community is protected
- Advise senior university leadership on compliance matters
- Promote education and training on compliance-related topics