Assistant Director, Internal Audit, Enterprise Risk Management, and Compliance
The University of Chicago

Job Info

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Department

F&A Internal Audit and Compliance

About the Department

The Office of Compliance and Internal Audit: 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, and reviews compliance with policies, procedures, laws, and regulations to protect the research and teaching mission of the University.

Job Summary

This position manages the day-to-day execution of the University's Internal Audit, Enterprise Risk Management ("ERM"), and Compliance programs. With a moderate level of direction, this position participates in Internal Audit, ERM, and Compliance committees, creates and maintains ERM & Compliance documentation, and provides advice to the Assistant Vice President on the strategic direction for the Internal Audit, ERM, and Compliance programs. The successful candidate will be able to serve as a proxy, where needed, to interface with senior University leadership and other stakeholders.

Responsibilities

• Manages the day-to-day execution of the Internal Audit, Enterprise Risk Management (ERM), and compliance programs.
• Serves as a proxy, as needed, for the Assistant Vice President to attend and lead meetings and develop relationships with stakeholders. Provides guidance to key stakeholders regarding ERM and compliance execution.
• Continues to evolve and refine ERM and Compliance methodology and process, including ERM and compliance program documentation, tools, and templates.
• Operationalizes the ERM and compliance processes and functions and applies standard processes, methodologies, tools and templates to identify, assess, analyze, and prioritize enterprise risks.
• Manages Integrated ERM and Compliance Committee meetings by scheduling meetings, providing logistical support, developing agendas, preparing minutes, and providing materials to support discussions.
• Maintains a current understanding of regulatory trends and changes in compliance and regulatory guidelines that affect the University by monitoring various resources to assess regulatory changes and determine organizational impact and risk; creates and refines tools to monitor risks and compliance obligations. Partners with stakeholders to ensure that regulatory changes are appropriately accounted for in the compliance program design.
• Designs and deploys programs for monitoring compliance and risk in various areas in a decentralized operating environment.
• Convenes and coordinates working groups for focused analysis and development of risk management/remediation plans.
• Conducts follow-up procedures to assess remediation of any issues identified; assists in the development of remediation action plans.
• Provides policy and training guidance to individuals and departments including commenting on and drafting policies and training materials.
• Designs dashboards, presentations, reporting templates, data-driven heat maps, written reports, or other deliverables to be presented to senior leadership and the Audit Committee; identifies and analyzes data in support of the same.
• Manages Internal Audit activities including work plan development, planning activities, scope memo review, and draft report review.
• Manages the Compliance Hotline and compliance inquiries received through other channels, including ensuring appropriate follow-up to issues.
• Promotes the identity and services of the ERM, Compliance, and Internal Audit functions.
• Guides the implementation of compliance activities designated by the University's strategic plans. Monitors University compliance with regulations and laws.
• Performs other related work as needed.

Minimum Qualifications

Education:
Minimum requirements include a college or university degree in related field.
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Work Experience:
Minimum requirements include knowledge and skills developed through 5-7 years of work experience in a related job discipline.
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Certifications:

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Preferred Qualifications

Education:

• JD, MBA or similar degree.

Certifications:

• CCEP

Preferred Competencies

• Recognize risk issues in complex environment.
• Effective written and oral communication skills.
• Project management experience.
• Mathematical and analytical ability.
• General understanding of higher education regulatory environment.
• Demonstrated enthusiasm and motivation, with the capacity to learn to build on skills.
• Maintain confidential information.
• Demonstrated ability to build collaborative relationships and work with various levels of leadership within the organization.

Application Documents

• Resume/CV (required)
• Cover Letter (preferred)
• References Contact Information (3) (preferred)

When applying, the document(s) MUSTbe uploaded via the My Experience page, in the section titled Application Documents of the application.

Job Family

Legal & Regulatory Affairs

Role Impact

Individual Contributor

FLSA Status

Exempt

Pay Frequency

Monthly

Scheduled Weekly Hours

37.5

Benefits Eligible

Yes

Drug Test Required

No

Health Screen Required

No

Motor Vehicle Record Inquiry Required

No

Posting Statement

Applicant Inquiry Form.Applicant Inquiry FormThe University of Chicago is an Affirmative Action/Equal Opportunity/Disabled/Veterans Employer and does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national or ethnic origin, age, status as an individual with a disability, protected veteran status, genetic information, or other protected classes under the law. For additional information please see the University's Notice of Nondiscrimination.

Staff Job seekers in need of a reasonable accommodation to complete the application process should call 773-702-5800 or submit a request via Applicant Inquiry Form.

We seek a diverse pool of applicants who wish to join an academic community that places the highest value on rigorous inquiry and encourages a diversity of perspectives, experiences, groups of individuals, and ideas to inform and stimulate intellectual challenge, engagement, and exchange.

All offers of employment are contingent upon a background check that includes a review of conviction history. A conviction does not automatically preclude University employment. Rather, the University considers conviction information on a case-by-case basis and assesses the nature of the offense, the circumstances surrounding it, the proximity in time of the conviction, and its relevance to the position.

The University of Chicago's Annual Security & Fire Safety Report (Report) provides information about University offices and programs that provide safety support, crime and fire statistics, emergency response and communications plans, and other policies and information. The Report can be accessed online at:http://securityreport.uchicago.edu.Paper copies of the Report are available, upon request, from the University of Chicago Police Department, 850 E. 61st Street, Chicago, IL 60637.

This job has expired.