Assistant Vice President for Compliance

Texas A&M University - Victoria•Victoria, TX

About The Position

Reporting to the Chief Operating Officer, the Assistant Vice President for Compliance serves as the ethics and compliance officer (ECO) at Texas A&M University-Victoria. This individual administers the University Compliance Program, ensuring the institution is following federal and state regulations, as well as Texas A&M University System (TAMUS) regulatory standards. The ECO ensures that conduct within the university meets the standards and ethical behavior set forth in applicable laws and the institution’s commitment to integrity. This role oversees multiple operational areas including compliance; risk management; environmental health & safety; Clery Act Compliance; records retention; public information office; the Risk, Fraud and Misconduct Hotline; and audit liaison. The ECO does not directly oversee research compliance (IRB, IBC) but works with the Director of the Office of Research and Sponsored Programs and Chief Research Officer on such areas.

Requirements

Education: Bachelor’s degree.
Experience: Seven years of related and significant experience within a compliance program and interacting with regulators. Record of successfully developing and implementing new or underdeveloped compliance programs. Successful record of working effectively and in partnership with individuals who do not report directly but have shared responsibility for compliance. Supervisory experience and success in leading, empowering, and delegating effectively to a team of professional staff.
Knowledge / Skills: Understanding of state and federal laws relating to the field of compliance. Exceptional verbal and interpersonal communication skills. Excellent analytical skills. Operates with integrity.
Ability to: Ability to use independent judgment and to manage and impart confidential information. Ability to multitask and work cooperatively with others. Ability to travel routinely to off-campus instructional sites and periodic travel within Texas. Ability to travel occasionally outside of Texas may be necessary to remain current in issues of compliance.
Licensing/Professional Certifications: None
Physical Requirements: Light to moderate lifting
Other Requirements: None.

Nice To Haves

Master’s degree in applicable field, such as Business Ethics and Compliance, Public Administration, Business Administration, Law or JD.
Ten years of experience leading a compliance program.
Experience in a university environment. Direct knowledge and experience with one or more of the major areas of university compliance.
Professional Certifications of Certified Compliance & Ethics Professional (CCEP), Certified Fraud Examiner (CFE), Certified Internal Auditor (CIA), Title IX Administrator Level 1 Certification, and/or Civil Rights Investigator Level 1 Certification.

Responsibilities

University Rules and Procedures: Develops, implements, and evaluates a university-wide risk and compliance program in alignment with applicable laws, Texas A&M University System policies and regulations, as well as university rules and procedures. Formulates and maintains a database of all university rules and procedures required by the TAMUS System and any additional rules and procedures needed for university operations as determined by university administration; monitors the information within the database to ensure rules and procedures are reviewed by the responsible party or department in a timely manner, when new or reviewed documents are submitted to legal counsel for review, and follow-up with legal counsel when needed.
Title IX/Clery: Oversees the university’s Title IX compliance program, ensuring the requirements identified in Title IX of the Education Amendments of 1972, and the relevant provisions of the Violence Against Women Act 2013 (VAWA) and the Jeanne Clery Disclosure of Campus Security Policies and Crime Statistics Act (Clery Act) are being followed; certifies institutional accountability in responding to reported concerns and complaints.
Internal Audit: Works with appropriate university executives as the university’s internal audit liaison in matters related to compliance. Provides audit status reports for executive staff as required. Implement all audit recommendations related to compliance in a timely manner.
Compliance Strategy and Planning: Facilitates the creation and monitors the performance of the Annual Compliance Plan and related activities on a continuing basis, taking appropriate steps to improve effectiveness. Manages day-to-day operations of the Program. Risk Reduction: Proactively identifies potential areas of compliance vulnerability and risk; develops and supports corrective action plans for resolution of problematic issues and provides general guidance to leadership and staff.
Represents the university at Texas A&M System compliance functions.
Serves as the university coordinator of the Ethics Point Waste, Fraud, and Abuse Hotline; establishes and provides direction and management of compliance hotline issues.
Responds to alleged violations of rules, regulations, policies, procedures, and ethical conduct by evaluating or recommending the initiation of risk mitigation procedures. Reports violations or potential violations to System Ethics and Compliance Officer, university CEO and executive leadership as appropriate and/or required.
Acts as the Public Information Officer (PIO) for Texas A&M University-Victoria and responds to all public information requests received by the university in accordance with the Texas Public Information Act.
Serves as the university liaison for litigation discovery and production requests initiated by the System Office of General Counsel.
Directs and oversees the coordination and facilitation of production requests for external audits, compliance reviews, and records inquiries.
Acts as the Records Retention Officer for Texas A&M University-Victoria, providing training and taking appropriate steps to ensure compliance with the System Records Retention Schedule.
Institutes and maintains an effective compliance communication program for the university, including promoting (a) use of the Ethics Point Hotline, (b) heightened awareness of ethical conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.
Works with Human Resources and other departments as appropriate to develop an effective compliance training program, including onboarding for new employees and ongoing training for all employees and managers.
Chairs the University and Executive Compliance Committees and conducts quarterly meetings to review and discuss compliance issues and risk mitigation techniques.
Oversees the administration of environmental, health and safety programs at the university to ensure compliance with federal, state, and A&M System policies.
Collaborates with System and university departments (e.g., Risk Management, Internal Audit, Office of General Counsel, Human Resources, Research Compliance, etc.), as well as campus leadership to investigate and resolve compliance issues.
Oversees informal and formal Compliance Reviews of established standards with identified contact office(s) and/or designated university official(s); verifies status of compliance activities and identifies trends; monitors progress through staff-assisted visits and spot-checks.