Chief Compliance Officer Bookmark this Posting Print Preview | Apply for this Job Posting Details Position Information Job Title Chief Compliance Officer Full Time/Part Time Full Time FLSA Exempt General Job Description This is a managerial position responsible for directing and managing a continuous and proactive compliance program in accordance with applicable laws, regulations, policies, and procedures at Stephen F. Austin State University. Works under limited supervision, with considerable latitude for the use of initiative and independent judgment. Reports to the Senior Vice President for Organizational Effectiveness. Essential Job Functions 1. Oversees the university compliance risk assessment process and manages the preparation of a comprehensive risk-based compliance plan consisting of short and long-term items as well as planning for potentially high-risk items. 2. Coordinates and facilitates the compliance committee meetings, to include preparing reports detailing compliance initiatives as well as recommending improvements/changes in the overall compliance program for executive management consideration. 3. Oversees compliance in high-risk areas to ensure risks are appropriately mitigated. Assists the high-risk responsible parties in the development of a risk mitigation compliance plan including daily monitoring, oversight controls, and specialized training for those involved in the high-risk area. 4. Directs and continuously evaluates an effective compliance program for the university. 5. Participates 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. 6. Collaborates with university departments to direct compliance issues to appropriate existing channels for investigation and resolution or to direct complaint(s) to the appropriate office(s) for resolution. Consults with the Vice President and General Counsel as needed to resolve difficult legal compliance issues. 7. Maintains and updates the standards of conduct to ensure it provides current guidance to university management and employees. 8. Maintains the university’s confidential reporting mechanism that allows employees to report instances of suspected non-compliance. 9. Hires, supervises, trains, and evaluates assigned staff. 10. Provides overall direction, coordination, and evaluation of assigned areas. 11. Reports on compliance activities to The University of Texas System compliance officer as requested. 12. Monitors developments and changes in statutes and court rulings, rules, and regulations that impact compliance areas and obtains current information. 13. Identifies potential areas of compliance vulnerability and risk, develops and implements corrective action plans for the resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future. 14. Coordinates the evaluation of outside activity requests and/or disclosures of employees and prepares management plans as requested for non-research personnel. Reports information to executive management, as appropriate. 15. Oversees the development and maintenance of general compliance training for employees and monitoring completion. 16. Develops and delivers compliance-specific training to new employees, academic and other university departments, and organizations and groups when requested. 17. Serves as a compliance delegate on multiple university committees such as the Institutional Audit Committee and others as designated or requested. Non-Essential Job Functions 1. Coordinates and assists with special projects as assigned. 2. Performs other related duties as assigned. Required Knowledge, Skills, and Abilities The individual must possess the following knowledge, skills, and abilities or be able to explain and demonstrate that the individual can perform the essential functions of the job, with or without reasonable accommodation. 1. Knowledge of, or ability to learn, university policies and procedures. 2. Knowledge of, or ability to learn, federal, state, and local laws, statutes, regulations, codes, and standards and their application in higher education and state agencies. 3. Skill in analysis, problem solving, research, and report writing. 4. Skill in public speaking and delivering presentations to individuals and groups. 5. Skill in using computer applications including spreadsheet, database, and word processing software. 6. Ability to learn office and university-specific software. 7. Ability to analyze, organize, and prioritize work while meeting multiple deadlines. 8. Ability to work independently on difficult or complex tasks. 9. Ability to identify problems, evaluate alternatives, and implement effective solutions. 10. Ability to communicate effectively in both oral and written form. 11. Ability to accurately prepare and maintain records, files, and reports in an organized manner. 12. Ability to work with and maintain confidential information. 13. Ability to establish and maintain effective working relationships with university faculty and staff. 14. Ability to communicate and interact effectively with the general public. 15. Ability to train and supervise others. 16. Must possess personal and professional integrity. Physical Demands Required Education Bachelor’s degree in a related field is required. Required Experience and Training Five years of progressively responsible experience in a regulatory, legal, and/or compliance-related capacity in healthcare, business, and/or university environment is required. Experience in dealing with federal and state regulations, and assisting in the design of appropriate compliance monitoring procedures to meet those requirements is required. Supervisory and management experience is required. Preferred Qualifications Master’s degree in a related field or Juris Doctor is preferred. Compliance/ethics certification or professional certification/licensure in a related field is preferred. Special Conditions for Eligibility This is a security-sensitive position subject to criminal record check. This is an IT-sensitive position subject to the Computer and Network Security policy. Min Pay Rate Mid Pay Rate Salary Information Salary Grade - 4 Specific Job Requirements/Duties for this Posting Reporting departments include Title IX, Chief Information Security Officer, and Environmental Health, Safety, and Risk Management. Is Background Check Required? Yes Benefit and Retirement Eligibility This position is eligible for participation in the Optional Retirement Program ( ORP ), subject to the position being full-time and at least 4 ½ months in length, or the Teacher Retirement System of Texas ( TRS ) retirement plan, subject to the position being at least 20 hours per week and at least 135 days in length. EEO Statement Stephen F. Austin State University, an Equal Employment Opportunity and Affirmative Action Employer and Educator, is committed to excellence. All qualified applicants will receive consideration for employment without regard to sex, race, creed, color, age, national origin, religion or physical or mental disability as required by law. If, because of an impairment or disability, you need accommodation during any part of the employment process, please contact Human Resources at 936-468-2304. Posting Detail Information Posting Number S2024-147 Candidates Eligible to Apply Open to all qualified applicants Number of Positions Available 1 Posted Date 10/04/2024 Review Start Date Close Date Work Schedule Open Until Filled Yes Special Instructions to Applicants Posting Quick Link https://careers.sfasu.edu/postings/12156 Contact Information Contact Name Heather Howell Contact Phone (936)468-8387 Contact Email hhowell@sfasu.edu Contact Information Supplemental Questions Required fields are indicated with an asterisk (*). + * Do you have a bachelor's degree? + Yes + No + * What is your academic major/minor? (Open Ended Question) + * Do you have a masters degree? + Yes + No + * Which of the following best represents the number of years experience you possess relating directly to the job to which you are applying? + Less than one + One to two + Three to four + Five to six + Seven to eight + Nine or more + * Please describe your experience working in both compliance and academic settings. (Open Ended Question) + * Describe your knowledge or experience with best practices in implementing compliance programs. (Open Ended Question) + * Please describe your supervisory and management experience. (Open Ended Question) + * Please list any licenses or certifications that you currently hold. If you are currently in the process of completing a license or certificate, please list it along with the estimated date of completion. (Open Ended Question) Documents Needed To Apply Required Documents + Resume + Cover Letter + List of References Optional Documents + Other Document