Job Family Concept

The Audit/Compliance job family is responsible for evaluating and assessing regulatory compliance, internal controls, and recommending changes in operations, functions, systems, procedures, and/or processes. This family promotes compliance with university policies and regulations and those of external related entities. Functions in this job family include but are not limited to participating in the development of policies to promote compliance; assessing risk of non-compliance and recommending measures to mitigate risks; investigating allegations of non-compliance with recommended corrective actions; and providing compliance and regulatory training. Positions in this job family may report to management or provide an independent, objective advisory and assurance role.


Role Descriptions

Role descriptions below outline the distinguishing functions of each role within this job family.

Audit/Compliance Officer:
Responsible for implementation of Audit/Compliance functions. The Audit/Compliance Officer demonstrates a high level of experience and depth of knowledge and may interface with internal/external entities by submitting reports and other required documentation, and handling of on-site audits. Specialized and progressively responsible experience is required as the level increases.
Audit/Compliance Management:
Responsible for overseeing a major Audit/Compliance area for the University. This role develops and executes strategy, promotes consistency and coordination among programs, and collaborates with officials internal and external to the university. This role requires a deep knowledge of complex laws and regulations impacting a broad spectrum of operations. Management level roles have the management and development of people as a major accountability and have direct reports. This role accomplishes goals through overseeing their areas of responsibility, planning, managing resources, prioritizing, and directing the responsibilities of employees.


Effective Date: TBD