Director of Compliance and Ethics

Classification Title:

Director, Compliance

Classification Minimum Requirements:

Master’s degree in an appropriate area and at least six years of experience in appropriate area; or an equivalent combination of education and experience.

Job Description:

UF Compliance and Ethics Program Development, Oversight, and Operation

• As a member of the UF Compliance and Ethics (UFCE) leadership team, serve as the Director of Compliance and Ethics developing, overseeing, and monitoring UF’s Compliance and Ethics Program. Provide strategic and operational support to the CCO.
• In coordination with the CCO, work collaboratively with leadership across the UF enterprise to develop tools, best practices, and resources; develop coordinated and streamlined practices/ procedures/services to minimize the resulting burden on faculty and staff; and test and monitor effectiveness of systems and remediation of weaknesses and particular violations.
• Ensure appropriate corrective actions and remediation plans are developed and implemented in response to investigation findings, including tracking outcomes, identifying systemic issues, and recommending control enhancements to prevent recurrence.
• Develop an annual compliance work plan that reflects UF’s unique characteristics, needs, and risks.
• Identify compliance gaps and propose corrective actions to the CCO.
• Create and maintain relationships with all levels of UF leadership to coordinate risk, compliance, and ethics activities, accomplish program objectives, and facilitate resolution of problems. Support compliance committees, including the Compliance and Ethics Committee.

Compliance Monitoring, Reporting, Policy Development, and Outreach

• Lead all efforts related to compliance risk assessments, implementing and overseeing an institutional compliance risk analysis process to enhance strategic compliance oversight and monitoring.
• Implement and oversee a monitoring program in coordination with university partners to gain assurance of compliance across high-risk compliance areas. Perform and oversee compliance reviews and cultural surveys, as appropriate.
• Develop and implement policies and programs that encourage employees to report suspected non-compliance.
• Manage the Compliance Hotline, with oversight of intakes, triage, referrals, investigations, and resolution of reported concerns. Collaborate with the Internal Review Committee to assess allegations, determine investigative pathways, and prioritize data analytics to support root cause analysis and trend identification.
• Oversee and coordinate compliance investigations related to alleged violations of laws, regulations, and university policies. Ensure investigations are conducted in a timely, objective, and well-documented manner, utilizing appropriate internal and external resources as needed. Establish investigation protocols, maintain case management standards, and ensure consistent application of investigative procedures across the UF enterprise.
• Assist CCO in the university’s policy approval process, collaborating with the University Policy Group.
• Develop and maintain enterprise-wide compliance calendar and reporting process.
• Draft compliance reports and presentations, including the annual institutional compliance report, and assist the CCO in preparing materials for the Board of Trustees, Board of Governors, and university leadership, providing presentations as directed by the CCO.
• Provide guidance, advice, training and educational programs to UF faculty, staff, and students to improve the university’s understanding of compliance-related laws and regulatory requirements.
• Oversee, develop, and execute effective marketing, training, and awareness campaigns to promote the UF’s Compliance and Ethics Program.

Subject-Matter Expertise and Other Duties

• Monitor the regulatory landscape within higher education compliance and ethics and continuously expand subject-matter expertise.
• Participate in relevant compliance and ethics organizations, including attending meetings and conferences, participating in work groups, engaging in speaking opportunities, or performing other related activities.
• Evaluate emerging compliance trends and make recommendations to the CCO for implementing best practices to support the continuous improvement of UF’s Compliance and Ethics Program.
• All other duties as assigned by the CCO.

Expected Salary:

Anticipated salary range is $122,000-$170,000

Required Qualifications:

• Master’s degree in an appropriate area and at least six years of experience in appropriate area; or an equivalent combination of education and experience.
• Certified Compliance & Ethics Professional (CCEP) certification or must be obtained within one year of employment