Deputy Compliance Officer, Office of Ethics, Risk & Compliance Services (6060U) 57112
University of California, Berkeley
Location: Berkeley, CA
About Berkeley
At the University of California, Berkeley, we are committed to creating a community that fosters equity of experience and opportunity, and ensures that students, faculty, and staff of all backgrounds feel safe, welcome and included. Our culture of openness, freedom and belonging make it a special place for students, faculty and staff.
The University of California, Berkeley, is one of the world's leading institutions of higher education, distinguished by its combination of internationally recognized academic and research excellence; the transformative opportunity it provides to a large and diverse student body; its public mission and commitment to equity and social justice; and its roots in the California experience, animated by such values as innovation, questioning the status quo, and respect for the environment and nature. Since its founding in 1868, Berkeley has fueled a perpetual renaissance, generating unparalleled intellectual, economic and social value in California, the United States and the world.
We are looking for equity-minded applicants who represent the full diversity of California and who demonstrate a sensitivity to and understanding of the diverse academic, socioeconomic, cultural, disability, gender identity, sexual orientation, and ethnic backgrounds present in our community. When you join the team at Berkeley, you can expect to be part of an inclusive, innovative and equity-focused community that approaches higher education as a matter of social justice that requires broad collaboration among faculty, staff, students and community partners. In deciding whether to apply for a position at Berkeley, you are strongly encouraged to consider whether your values align with our https://chancellor.berkeley.edu/guiding-values-and-principles, our https://diversity.berkeley.edu/principles-community, and https://strategicplan.berkeley.edu/https://strategicplan.berkeley.edu
At UC Berkeley, we believe that learning is a fundamental part of working, and our goal is for everyone on the Berkeley campus to feel supported and equipped to realize their full potential. We actively support this by providing all of our staff employees with at least 80 hours (10 days) of paid time per year to engage in professional development activities. To find out more about how you can grow your career at UC Berkeley, visit https://hr.berkeley.edu/grow.
Departmental Overview
The Office of Ethics, Risk, and Compliance Services (OERCS) serves as an independent, objective resource to the Chancellor, the Compliance & Enterprise Risk Committee (CERC), and the campus community. Reporting to the Chief Ethics, Risk and Compliance Officer (CERCO), OERCS is responsible for coordinating and monitoring the University's ethics, risk and compliance activities, and for developing a culture of accountability in which risk assessment and risk management (mitigation) are part of all campus practices and decision making activities. It will assist functional managers with complying with laws, regulations, and policies, and adhering to the ethical standards of the University. The CERCO and OERCS are responsible for administering UC Berkeley's Ethics and Compliance Program. A team of compliance professionals in the Office of Ethics, Risk, and Compliance Services (OERCS) works collaboratively with each other and with various campus stakeholders on strategic planning and the day-to-day program administration.
With minimal direction, the Deputy Compliance Officer reports to the CERCO and works to ensure that UC Berkeley compliance programs are consistent with the University's Statement of Ethical Values and Standards of Ethical Conduct, UC Ethics and Compliance Services Program Policy, and applicable Federal and State laws and regulations. The Deputy Compliance Officer has direct responsibility of a part of the Ethics and Compliance Program and oversees professional staff responsible for Policy (systemwide and campuswide), Delegations of Authority, and Conflict of Interest.
The incumbent co-leads training mandates with staff, academic, and staff campus partners, advances a culture of ethics and compliance across the campus, OERCS and Chancellor's division, and provides executive level advising, situation management and strategic guidance to the CERCO, and senior campus leadership in support of the UC Berkeley's compliance, ethics, and risk service programs. The incumbent is an analytical and proactive partner to the CERCO and other leads within the compliance space, following up on and following through with various compliance-related initiatives and issues.
Responsibilities
• Provide leadership and oversight of the development, implementation, and monitoring of UCB's Ethics and Compliance Program, including administration of systemwide and campus policies and procedures to ensure consistent with the requirements of current Federal and State laws and regulations and University mandates.
• Responsible for campus-wide compliance & risk management strategic planning, design, and development of systems that support a campus culture that promotes compliance with senior management and identification of risk appetite and risk mitigation strategies. Oversight and/or Coordinate as appropriate the campus compliance governance subcommittees and work groups and periodic reporting of issues and/or project plans to CERC.
• Lead Compliance & Enterprise Risk Committee (CERC) annual compliance work plan. Lead through a cross-section of staff and campus units to identify and assess compliance risks, develop action plans to mitigate the risks, and monitor the progress of the risks identified on an ongoing basis to ensure management's risk responses are carried out effectively and responsible for the submission of the campus compliance plan to UC Ethics, Compliance, and Audit Services (ECAS) and Regents.
• Advises the CERCO/Associate Chancellor and Chancellor on policy and compliance issues. Responsible for the development, implementation, and tracking of the annual campus compliance risk process and plan.
• Review data trends and reports to identify potential high-risk areas and improvement opportunities. Conduct gap analysis and provide expert support to the CERCO to develop a long-term strategic dynamic compliance and risk plan for the enterprise, considering changes in the campus strategic goals and objectives, Federal and State laws and regulations, and the risk tolerance of the University.
• Represent campus and participate regularly in UC systemwide meetings with compliance officers. Engage with the UC Office of Ethics, Compliance, and Audit Services (ECAS) to represent UCB's risk and compliance interests and concerns.
• Serve as UCB's liaison with the UC Office of the President for implementation of systemwide risk and compliance initiatives. As designated, serve as campus point of contact on government investigations and queries for compliance-related matters.Direct the review and evaluation of existing campus-wide policies. Manage campus policy communications for systemwide and local policies. Drive process improvement of overall control of campus-wide practices, standards, procedures, and guidance of administrative policies and management and maintenance of policy compliance portal.
• Collaborate with organizational units to review internal controls for disability, HR, discrimination, IT, privacy/ HIPAA, FERPA/ records management, research, and other compliance issues/concerns. On a strategic level, develop project plans, identify project deliverables, & oversee quality assurances of project plans for compliance risk for the enterprise.
• Manage centralized compliance functions: Delegations, Conflict of Interest, Policy, including overseeing the project management of annual goals, strategizing on best practices of these areas to improve operational effectiveness, corrective action plans, monitoring, and reporting.
• Work across the compliance enterprise, ombuds offices (staff, academic, students) and risk portfolio aligning informal and formal complaint processes. Oversee and monitor the implementation of effective compliance programs and provide strategic consultation and advising to the CERCO and campus leadership.
• Lead and monitor the management of active compliance issues. Engage with responsible units to ensure timely implementation of appropriate corrective/disciplinary actions in response to any detected compliance deficiency per University policy.
• Provide development guidance and assist in the identification, implementation, and maintenance of organization information compliance policies and procedures in coordination with senior leadership, compliance/risk committees, UCOP, and legal counsel.
• Communicate regularly with the CERCO, CERC, and the UC Senior Vice President/Chief Compliance and Audit Officer, about significant risks and relevant compliance matters. Update UCB's senior leadership on compliance activities, issues, and initiatives impacting the university, including areas of risk, for information and/or management action follow-up.
• Collaborate with appropriate UC and campus partners to ensure the integrity and effectiveness of the UCB Compliance Program, including timely compliance reviews of contracts, licensing, employment, and administrative practices, privacy initiatives, IT, research, mandatory training, and other risk or compliance-related initiatives.
• Develop and lead a communication strategy such as rebranding the office including but not limited to the redesign of the website, designating campus compliance day, the release of quarterly issues highlighting University-wide ethics and compliance initiatives, etc.
• Collaborate with senior leadership and functional and academic units to develop, implement, support, and assess programs, education, and policies focusing on campus compliance, ethics, values, culture, and standards.
• Keep abreast of regulatory trends & develop effective strategic plans to mitigate risk. Develop metrics and tools used to monitor and communicate compliance program effectiveness.
• Partner with People and Culture and Executive Vice Provost Office on the development and roll-out of training and educational programs to UCB constituents for general ethics and compliance principles, as well as specified risk areas. Partner with ECAS and campus leadership as appropriate to enhance such training and educational programs and seeks to ensure that all stakeholders are knowledgeable of, and comply with pertinent practices and policies.
• Serve on committees (CCRT, Investigations Work Group (IWG), Information,Risk, Governance Committee (IRGC), Compliance & Enterprise Risk Committee (CERC), CERC policy subcommittee etc.) and represent the CERCO as needed on systemwide and campus wide committees and meetings.
Required Qualifications
• Ability to demonstrate professional judgment in the supervision of projects and staff.
• Possess strong organization, comprehensive project management, and strategic planning and implementation skills.
• Possess strong analytical thinking and collaboration skills to advise campus executives and partner in resolving concerns or making improvements that cross various functions in an effective and ethical manner.
• Exceptional listening, writing, and verbal communication skills. Ability to present complex information to leadership and diverse audiences. Strong presentation skills and demonstrated ability working with presentation applications and data sharing software.
• Demonstrated ability to establish effective professional relationships in a large, complex organization;proven experience interacting with constituents with a variety of needs and perspectives; demonstrated political acumen and experience managing sensitive situations.
• Demonstrated knowledge and understanding of emerging trends and regulatory requirements/frameworks affecting a large, research-based institution of higher education or similarly complex organization, including Federal Sentencing Guidelines, environmental health and safety, FERPA, Title IX, Clery Act, ADA, employment and hiring compliance, federal and state privacy issues, GDPR, research compliance, and/or financial aid.
• Possess significant number of years of progressively responsible professional experience in compliance and related fields.
• Proficient in MS Office, SMARTsheets and/or the use of relevant business information and computing systems and or applications.
• Bachelor's or Advanced degree in related area and / or equivalent experience / training in related area.
Preferred Qualifications
• Familiarity with process improvement methodology.
• Budget management skills.
• Significant legal, regulatory, audit, and/or compliance experience at a higher education institution.
• Demonstrated knowledge and understanding of Enterprise Risk Management models and programs.
• Professional certification preferred: Society of Corporate Compliance and Ethics® (SCCE) or Health Care Compliance Association® (HCCA)
Salary & Benefits
For information on the comprehensive benefits package offered by the University, please visit the University of California's http://ucnet.universityofcalifornia.edu/compensation-and-benefits/index.html website.
Under California law, the University of California, Berkeley is required to provide a reasonable estimate of the compensation range for this role and should not offer a salary outside of the range posted in this job announcement. This range takes into account the wide range of factors that are considered in making compensation decisions including but not limited to experience, skills, knowledge, abilities, education, licensure and certifications, analysis of internal equity, and other business and organizational needs. It is not typical for an individual to be offered a salary at or near the top of the range for a position. Salary offers are determined based on final candidate qualifications and experience.
The budgeted salary that the University reasonably expects to pay for this position is from $140,000.00 to $184,200.00 annually, commensurate with experience and analysis of internal equity.
The full salary range for this position classification is $117,000.00 to $226,000.00.
How to Apply
To apply, please submit your resume and cover letter.
Conviction History Background
This is a designated position requiring fingerprinting and a background check due to the nature of the job responsibilities. Berkeley does hire people with conviction histories and reviews information received in the context of the job responsibilities. The University reserves the right to make employment contingent upon successful completion of the background check.
Mandated Reporter
This position has been identified as a Mandated Reporter required to report the observed or suspected abuse or neglect of children, dependent adults, or elders to designated law enforcement or social service agencies. We reserve the right to make employment contingent upon completion of signed statements acknowledging the responsibilities of a Mandated Reporter.
Equal Employment Opportunity
The University of California is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. For more information about your rights as an applicant, please see the https://www.eeoc.gov/know-your-rights-workplace-discrimination-illegal-poster poster.
For the complete University of California nondiscrimination and affirmative action policy, please see the University of California http://policy.ucop.edu/doc/4000376/NondiscrimAffirmAct policy.
To apply, visit https://apptrkr.com/4506766
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