Vice President for Audit, Compliance, Ethics and Risk Management

Augusta University•Augusta, GA

74d

About The Position

The Vice President of Audit, Compliance, Ethics, and Risk Management (VP-ACERM) is a senior leader charged with safeguarding Augusta University's integrity, accountability, and operational resilience. This role provides strategic leadership and oversight across five critical domains: Internal Audit, Ethics & Compliance, Enterprise Risk Management, Privacy, and Environmental Health & Safety (EH&S). Additionally, the VP for ACERM is responsible for ensuring that these entities have implemented appropriate policies, procedures, and education; while ensuring these activities appropriately assess and monitor institutional risks and make executive and senior leadership aware of these risks and the status of mitigation and corrective actions taken by management. The VP ensures that Augusta University operates in full alignment with federal and state laws, University System of Georgia (USG) policies, and the highest ethical standards. This position is instrumental in promoting a culture of transparency, safety, and continuous improvement, while serving as a trusted advisor to the president, senior leadership and external regulatory bodies. This position also serves as a member of the President's Cabinet and is an active contributing member of the USG Internal Audit, Ethics & Compliance team.

Requirements

A Master's degree from an accredited college or university in Finance, Accounting, Risk Management, Business, Health Care Management, or related field is required.
Ten or more years' leadership experience in ethics, compliance, investigations, legal affairs, audit, or closely related activities.
Experience conducting investigations.
Excellent communication, organizational and problem-solving skills.
Strong work ethic and ability to multi-task.

Nice To Haves

Juris Doctorate or Doctoral degree in a related field is preferred. Financial Accounting or Auditing professional certification(s) such as: Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Governance of Enterprise IT (CGEIT), Certified in Healthcare Compliance (CHC), Certified Compliance & Ethics Professional (CCEP), Certified in Healthcare Privacy and Security (CHPS) is preferred.
Preferred experience in higher education, academic healthcare, governance or regulatory compliance.

Responsibilities

Creation, oversight and strategic management of the Internal Audit, Compliance, Privacy, Environmental Health and Safety, Ethics, and Risk Management departments and will serve as the Chief Compliance Officer. Reporting to the President and working directly with the Office of Internal Audit, Ethics & Compliance at the University System of Georgia to carry out a systematic approach to audit, risk management, controls and governance processes.
Oversee an internal audit program that evaluates financial, operational, and compliance controls and follows-up to ensure management has implemented corrective actions.
Ensures that high-quality internal audit and advisory services are provided, including overseeing the development and execution of an annual comprehensive risk-based audit plan in accordance with the professional standards promulgated by the Institute of Internal Auditors.
Present findings and strategic recommendations to executive leadership.
Ensure compliance with applicable laws, regulations and university policies and procedures.
Oversee fraud investigations and whistleblower protections.
Direct the university-wide ethics and compliance program, including policy development, training, and monitoring.
Oversee investigations into misconduct, retaliation, and ethical violations and ensure management follow-up on associated corrective actions.
Oversee reviews to strengthen the University's existing processes and systems to measure, monitor, and mitigate risk, and provide recommendations to improve operations
Collaborate with accountable institutional offices (e.g., athletics, research, DCG coding, etc.) for compliance with applicable laws, regulations and university policies and procedures.
Oversee the development and maintain a comprehensive ERM framework that identifies, assesses, and mitigates strategic, operational, financial, and reputational risks.
Facilitate cross-functional risk assessments and scenario planning.
Advise senior leadership on emerging risks and mitigation strategies.
Integrate risk management into institutional planning and decision-making.
Ensures compliance with HIPAA, FERPA, GDPR, and other applicable privacy laws.
Oversee the development of privacy policies, training programs, and incident response protocols.
Lead investigations of data breaches and coordinate with IT, legal counsel, and clinical operations.
Promote a privacy-aware culture across academic and clinical units.
Oversee EH&S programs to ensure compliance with OSHA, EPA, and state regulations.
Promote a safe and healthy campus through proactive risk assessments, emergency preparedness, and safety training.
Oversee the Institutional Biosafety Committee and Chemical Safety Committee.
Promote initiatives to improve campus safety, sustainability, and environmental stewardship.
Ensure institutional alignment with USG policies and federal/state regulations.
Liaise with external agencies including the Department of Education and state auditors.
Monitor regulatory changes and assess institutional impact.
Promote ethical leadership and decision-making across all levels of the university.
Assist the President, President's Cabinet Members and other leadership in developing and cultivating an ethical culture, where concerns are freely brought to the attention of management and staff, there are no repercussions or retaliation for bringing legitimate concerns forward and where the values of Augusta University are upheld.
Partners with Legal Affairs, Fiscal Affairs, Human Resources, Academic Affairs, Student Affairs, and other key stakeholders to ensure appropriate interaction and responses to inquiries, audits or investigations which includes conflict of interest, retaliation complaints, Title IX concerns, etc.
Develop and monitor AU Enterprise Risk Policies and ensure that Major Risks as defined by the USG Board of Regents Risk Management Policy are appropriately reported to the AU Executive Leadership and governing bodies.
Establish an integrated risk management framework for all aspects of risks across AU and its cooperative organizations, collaborate with management in the development of risk mitigation plans, and address specific areas of potential fraud. Ensure significant risks as defined by the USG Board of Regents Risk Management Policy are appropriately communicated to the USG.
Conduct an enterprise risk assessment ensuring that all applicable risks including, but not limited to, Audit and Compliance risks are addressed and implement a set of risk metrics and reports, including losses and incidents, key risk exposures, and early warning indications.
Ensure the Audit, Compliance and AU EH&S Plans are communicated to the Executive Audit, Compliance Privacy & Security Steering Committee and AU Executive Leadership.
Coordinate the Executive Audit, Compliance, Privacy & Security Steering Committee, ensuring that it actively fosters discussion, prioritize areas for further investigation and/or audit and conducts follow-up monitoring of compliance initiatives.
Ensure Internal Audit and Compliance conduct fair and objective audits and/or use other evaluation techniques to monitor compliance and to assist in the reduction of identified problem areas. Provide management with assurance that concerns are investigated and that corrective actions and risk mitigation efforts are tracked and monitored.
Ensure Compliance works with Human Resources to develop and coordinate multifaceted educational and training programs that focus on the elements of the AU Compliance & Ethics and ERM program and ensure that employees are knowledgeable of pertinent federal and state regulations standards.