University of California, Los Angeles
Chief Compliance and Audit Officer
The University of California, Los Angeles (UCLA) invites inquiries, nominations and applications for the position of Chief Compliance and Audit Officer (CCAO). The Chief Compliance and Audit Officer (CCAO) is responsible for ensuring that UCLA management, in all functional areas, is accountable for maintaining compliance with applicable laws, regulations and policies. The CCAO serves as a principal advisor to the Chancellor and executive leadership on ethics, compliance and audit matters.
The CCAO leads multiple compliance and audit functions that are strategically and operationally essential to the governance of UCLA. The CCAO promotes a culture of ethical behavior and provides integrated leadership across compliance, ethics, audit, and risk activities at UCLA. The CCAO reports to the Chancellor at UCLA and to the Senior Vice President of Ethics, Compliance and Audit Services at the UC Office of the President. The CCAO has independent authority and autonomy necessary to objectively provide a review and evaluation of compliance issues at UCLA. Day-to-day administrative reporting is to the Strategic Advisor and Chief of Staff to the Chancellor.
The CCAO leads the Office of Compliance and Audit and is responsible for developing and maintaining comprehensive and effective programs of compliance, and audit, which affect areas including privacy, policy, records management, whistleblower investigations and anti-retaliation functions. CCAO responsibilities include the following activities:
- Advise the Chancellor and the UC Office of Ethics, Compliance and Audit Services on the development, dissemination and implementation of an appropriate compliance infrastructure with performance metrics that are designed to detect and prevent non-compliant or unethical conduct throughout the campus.
- Facilitate a compliance risk assessment process and develop an annual compliance plan and annual compliance report for the campus.
- Collaborate with campus partners to research and develop recommendations on how to most effectively address compliance-related issues of campus-wide applicability including high risk compliance areas such as healthcare, sponsored research, financial aid, intercollegiate athletics, cybersecurity, admissions, and records retention among others.
- Provide functional integration and cooperation between campus and healthcare compliance activities. Develop and direct an integrated compliance program at UCLA with strategic guidance to senior leadership on changing governmental and legal requirements.
- Coordinate with the UC Office of the President (UCOP) to ensure that the ongoing UCLA efforts to promote an ethical culture align with the UC mission.
- Coordinate ethics and compliance activities and initiatives with the Chancellor, UCLA Health Office of Compliance Services, and the SVP/Chief Compliance and Audit Officer.
- Act as the Locally Designated Official under the University’s Whistleblower Policy and Whistleblower Protection Policy. Receive reports and complaints submitted pursuant to policy and ensure timely and appropriate response.
- Assess compliance readiness of various campus departments and work collaboratively with operational leader to ensure that compliance matters are promptly handled.
- Develop and manage the overall resourcing for the department; develop and manage the annual operating budget, funding sources and client/business relationships.
- Direct, counsel and provide guidance regarding federal and state laws and regulations as they apply to campus practices. Support implementation of policies and procedures to ensure that these practices are in compliance with the appropriate regulations and that regulatory reporting requirements are met.
- Develop and implement a cycle of oversight programs to ensure that campus departments are in compliance with applicable regulatory requirements and University policies.
- Provide direction in the formulation of strategic and long-range plans for Compliance and Audit and Advisory Services, which incorporate each department’s goals and objectives, oversee implementation and monitor achievement.
- Collect and analyze data and develop metrics to measure the effectiveness of the compliance and ethics program and initiatives undertaken on behalf of the institution.
- Convene and lead a campus ethics and compliance risk committee to provide program oversight and advise the SVP/Chief Compliance and Audit Officer.
- Prepare written reports, resources, and education and training materials on timely compliance topics and designs.
- Lead campus compliance risk communications and provide direction on compliance-based training, in conjunction with Campus Human Resources and UCOP.
- Serve as a central point of communication for compliance risk owners across the institution, leveraging these individuals through regular meetings of appropriate compliance oversight committees, which the CCAO will chair.
- Effective interface and consultation with the Academic Senate.
- Oversee the internal audit function through the Director of Audit & Advisory Services.
- Coordinate with units that oversee Administrative Policies and Records Management functions to ensure that policy development, implementation, dissemination and retention comply with UC directives and appropriate federal and state regulations and laws.
- Bachelor's degree in related area, over 8 years of related experience, and/or equivalent experience or education.
- Commitment to the highest ethical and professional standards, with the ability to serve as a standard bearer for UCLA.
- A philosophy of compliance which focuses on providing tools to manage risk rather than on strict enforcement.
- Extensive knowledge of ethics and compliance theory, standards and practices.
- Demonstrated ability to direct a large internal audit program with responsibility for campus, healthcare, investigation and external relations functions.
- Knowledge of policy development, management, and retention practices, including oversight of record management policies, practices and systems.
- Demonstrated interpersonal and relationship building skills, including negotiation and communication that are effective across a wide variety of audiences.
- Demonstrated ability to work with management to identify and mitigate key ethics, compliance and audit risks.
- Ability to design solutions to problems in a manner that builds confidence, trust and consensus across constituents.
- Ability to work independently with limited oversight and within a team environment.
- Skill at alignment of risk tolerance and mitigation to support successful implementation of compliance initiatives.
- Excellent written and verbal skills to communicate in an effective, clear and convincing manner.
- Extensive record of managing and leading a professional staff, with an emphasis on developing the talents and expertise that allow for expanded responsibility and ownership.
- Ability to manage multiple, concurrent priorities.
- Ability to dissect ambiguity.
- Advanced degree or equivalent certification (JD, CPA or MA/MS)
- Professional compliance certification.
- Experience in managing compliance and audit activities in a large, complex and decentralized environment.
- Knowledge about privacy functions, including HIPAA, FERPA and data protection in an open and transparent academic environment.
Situated on 419 acres, five miles from the Pacific Ocean, UCLA is enriched by the cultural diversity of the dynamic greater Los Angeles area, as well as the geographic advantages of Southern California. One of the world’s preeminent public research universities, UCLA is an international leader in breadth and quality of academic, research, health care, wellness, cultural, continuing education and athletic programs, with nearly 4,800 faculty members who teach nearly 46,000 students in the UCLA College and 12 professional schools. UCLA is consistently ranked among the top institutions nationally for research funding, having generated more than $1 billion in research grants and contracts annually in eight of the past 10 years.
Confidential review of applications, nominations and expressions of interest will begin immediately and will continue until an appointment is made. To be ensured full consideration, please email a letter of interest and curriculum vitae to UCLA’s Korn Ferry consultants John Amer and Victoria Antolini at UCLACCAO@kornferry.com by October 23, 2020.
The University of California is an Equal Opportunity/Affirmative Action Employer advancing inclusive excellence. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, age, protected veteran status, or other protected categories covered by the UC nondiscrimination policy - https://policy.ucop.edu/doc/4000376/DiscHarassAffirmAction.
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