Associate Director, Compliance Programs

 

OCCUPATIONAL SUMMARY

 

The Office of Audit Risk and Compliance (OARC) is a dynamic risk and controls assurance partner for Duke University, Duke University Health System and their affiliated entities (“Duke"). OARC performs operational, financial compliance and information technology assessments to evaluate business processes and technology systems for efficiency, effectiveness and accuracy. OARC also conducts advisory engagements focused on risk assessment, root cause analysis, performance metrics, process design and technology pre implementation.

 

The Associate Director supports the mission and objectives of the Office of Audit, Risk and Compliance through highly engaged support of the Institutional Compliance Programs Director and team members assigned to the engagements.  The Associate Director also assists in performing risk assessments, client communication, engagement project planning and execution, team leadership, report delivery and follow-up consultation.  Valuable professional attributes include risk-based internal controls and compliance experience, in-depth knowledge of business processes, strong relationship building skills, confident communication style, appropriate assertiveness, diplomacy, personal initiative, and the ability to facilitate collaboration across all levels of the institution. 

 

More information about OARC mission, objectives, guiding principles and leadership is found at: https:/ / oarc.duke.edu/.

 

WORK PERFORMED – General

 

• Provide guidance to team members, oversee project outcomes, streamline workflow prioritization and assignments, and adhere to established milestones and deadlines; Review engagement documentation and reports to ensure robust content, logical conclusions, and recommendations; furnish regular status updates to the Director, coordinating reviews and addressing any queries or concerns.
• Demonstrate proficient project management skills, steering outcomes through effective leadership on assigned projects and teams.
• Conduct comprehensive, risk-based assurance reviews and investigations, encompassing assessments of culture, processes, training, monitoring, response to identified issues, and process/regulatory burden balancing.
• Stay abreast of industry, trade, and regulatory publications, incorporating relevant insights into engagement considerations.

• Promote increased risk awareness and the value of business process change and identify opportunities to strengthen the risk mitigation strategy of the university.
• Build and maintain strong client relationships through collaboration and institutional community involvement and be recognized as a solution-driven, trusted advisor.

 

Technical Expertise

 

• Serve as the authoritative source on business process and/or compliance expectations and activities, consistently staying abreast of emerging issues, evolving regulatory requirements, and modifications to Duke policies, procedures, and processes.
• Identify, research, and communicate emerging industry or business process trends.
• Conduct due diligence to explore potential risks or issues, validating their implications and providing insightful analysis.
• Facilitate knowledge sharing within the team, promoting a comprehensive understanding of processes, requirements, risks and effective solutions.
• Demonstrate industry knowledge specific to academic medical center universities and not-for-profit organizations, encompassing governance structures, operating environments, key performance indicators, and constituent expectations.
• Lead the team's seamless transition to cutting-edge electronic engagement tools, such as MS Teams, ensuring a streamlined and efficient adoption process.
• Embrace other related duties and manage other projects incidental to the work described herein.

 

WORK PERFORMED – Role Specific

 

• Maintain the institutional inventory of laws and regulations applicable to Duke University, including information on risk owner, implementation, monitoring, and external reporting requirements.
• Analyze compliance monitoring results from area specific compliance offices and liaisons to determine appropriate compliance stance and risk mitigation strategy.
• Lead and oversee work performed by the Compliance Services team, including administration of the Speak Up program, sanction and debarment checks, administrative conflict of interest, policy management, and institutional compliance application management.
• Design and oversee compliance assessments for regulatory or institutional requirements.  Work with relevant area management regarding the implementation, reporting and results for these ongoing assessments.  Make recommendations for enhancement