Chief Compliance Officer - Utah State University

Overview:

The Chief Compliance Officer (CCO) (Compliance Officer Lead) provides administration, vision, strategic direction, coordination, and implementation of a comprehensive and cohesive compliance and ethics program at Utah State University (USU). The CCO leads the Office of University Ethics & Compliance (UEC) within USU’s Legal Affairs and reports directly to the Vice President of Legal Affairs. The CCO informs and advises the USU Board of Trustees Audit, Risk, Compliance Committee and implements this committee’s recommendations regarding university compliance and ethics efforts.

 

The CCO provides oversight and coordination of campus compliance officers and stakeholders to ensure implementation and maintenance of effective compliance systems. The CCO assists senior leadership, mid-level management, and staff to advance a university-wide culture of legal compliance and ethical conduct. The CCO monitors international, federal, and state regulations and works with USU administrators to advise, clarify, and identify actions that ensure compliance within an increasingly complex regulatory environment. The CCO is responsible for formulation, implementation, and maintenance of compliance-related policies and procedures, and coordinates reporting of non-compliance, as required under state and federal laws.

 

This position is eligible for hybrid work within the state of Utah.

Responsibilities:

• Provide oversight of USU’s compliance governance structure, including coordinating with, inter alia, Athletics, Human Resources, Research, Privacy, Information Technology and Security, Legal Affairs, Purchasing and other units.
• Provide vision, strategies, plans, and management of university-wide compliance efforts.
• Develop USU’s compliance program that supports and guides to compliance owners and partners throughout USU so that the compliance program is well-designed, applied earnestly, and empowered appropriately.
• Coordinate internal reporting structures to optimize USU’s receipt of actionable reports of misconduct and non-compliance. Refer issues to appropriate functions for investigation and resolution by authorized individuals.
• Prepare and maintain a five-year plan that sets strategies and objectives for the compliance program and review the plan regularly to assess and mitigate risks.
• Engage with senior leadership, management, and staff to create policies and procedures that advance emerging initiatives while ensuring compliance with federal and state regulations.
• Work with all levels of USU administration to develop and maintain durable internal controls that advance compliance.
• Develop and maintain training and education programs on relevant ethics and compliance issues and systems. Promote activities that foster awareness of compliance and ethics issues within USU.
• Support inquiries and investigations to ensure appropriate and consistent responses to non-compliance.
• Participate in university-wide risk analysis to ensure that compliance risks are properly managed.
• In conjunction with legal counsel, serve as USU's liaison with external authorities who raise compliance-related inquiries or complaints.
• Oversee mandatory reporting to state and federal agencies, coordinating efforts with appropriate compliance owners and responsible executives to ensure compliance with reporting requirements.

Qualifications:

Minimum Qualifications:

• Bachelor’s degree with a minimum of eight years of professional experience, including three years of experience within a higher education compliance, legal, audit, and/or risk function.
• Demonstrated ability to work unsupervised, exercise leadership, devise strategies, and drive durable change.
• Demonstrated organization, facilitation, written and oral communication, and presentation skills.
• Well-developed professional and interpersonal skills; ability to interact effectively with people at all organizational levels of USU.
• Experience with supervision of professional employees.
• Working knowledge of state, federal, and international laws and standards, including in areas of privacy, conflicts of interest, research, financial aid, employment, equity (including Title IX), and finances.

Preferred Qualifications:

• Advanced degree.
• Certified Compliance and Ethics Professional (CCEP) or other related certification(s).
• Demonstrated knowledge of market practices in development and maintenance of compliance-related frameworks, non-compliance reporting practices, investigative practices, and coordination with responsible executives, compliance owners and compliance partners related to diverse ethical and regulatory compliance issues.
• Prior experience collaborating with multiple divisions/units in a decentralized environment to meet the needs of various constituencies, while also meeting the needs of the organization as a whole.

Fundamental Abilities:  Within the scope and complexity of each position’s responsibilities, each incumbent is expected to possess and demonstrate the following abilities:

• Communication: Communicates effectively both verbally and in writing.
• Problem-solving: Analyzes information and evaluates results to select the best solution and solve problems in a practical manner.
• Self-Monitoring: Measures performance of self; makes improvements and takes appropriate corrective action.
• Critical Thinking: Comes to well-reasoned conclusions, solutions, and approaches to problems.
• Team Building: Works to create a team-based environment. Consistently demonstrates cooperative behavior with colleagues, supervisors, and customers.
• Active Listening: Gives full attention when others are speaking; listens to understand, asks questions as appropriate, and does not interrupt.
• Service Orientation: Actively seeks opportunities to help others.
• Conflict Resolution: Acts professionally when encountering members of the university community who, at times, may be frustrated.

Core Characteristics:  As representatives of USU and primary contributors to its mission, all employees are expected to demonstrate the following characteristics:

• Take initiative.
• Maintain confidentiality.
• Be accountable.
• Behave ethically.
• Be honest and trustworthy.
• Demonstrate a strong work ethic.
• Be inquisitive.
• Be detail-oriented.
• Be self-motivated.
• Efficiently manage multiple tasks.
• Be a team player.
• Be committed to improving USU.

Required Documents:

Along with the online application, please attach:

1. Resume/CV to be uploaded at the beginning of your application in the Candidate Profile under “Resume/CV"
2. Name and contact information for at least five professional references to be entered into Candidate Profile
3. Cover Letter describing the minimum and preferred qualifications for the position, as well as your vision for the Chief Compliance Officer at an R1 land-grant university, to be typed/pasted at the end of your application

**Document size may not exceed 10 MB.**

Advertised Salary:Salary range- $109,000 - $128,000 commensurate with experience, plus excellent benefitsADA:

Employees work indoors and are protected from weather and/or contaminants, but not, necessarily, occasional temperature changes.  The employee is regularly required to sit and often uses repetitive hand motions.

University Highlights:

Founded in 1888, Utah State University is Utah’s premier land-grant, public service university, with a strong commitment to excellence, access, and inclusion, empowering people to lead successful lives of involvement, innovation, and impact. Utah State provides high-quality education to 27,500-plus students locations throughout the state, including at three residential campuses, eight statewide campuses, and 23 education centers. USU Online educates students from all 50 states and 55 countries. For over 25 years, USU Extension has served and engaged Utahns in all of Utah’s counties. As an R1 research institution, Utah State is dedicated to advancing knowledge through research and scholarly activities, providing a high-quality undergraduate and graduate education at an affordable price.

 

Utah State is committed to cultivating a community of inclusive excellence where all perspectives, values, cultures, and identities are acknowledged, welcomed, and valued. We seek to recruit, hire, and retain people from all walks of life who will champion excellence in education, research, discovery, outreach, and service. We believe that promoting a strong sense of community and belonging empowers and engages all members of USU to thrive and be successful. Forbes recognized our commitment to employees when they named Utah State the best employer in Utah in 2023. Learn more about USU. 

 

The university provides a Dual Career Assistance Program to support careers for partners who are also seeking employment. Additionally, USU is committed to providing access and reasonable accommodations for individuals with disabilities. To request a reasonable accommodation for a disability, contact the university’s ADA Coordinator in the Office of Human Resources at (435) 797-0122 or hr@usu.edu. 

 

About the Region

U.S. News and World Report ranked Utah first for its strong economy, fiscal stability, education, and health care. Outstanding outdoor recreational opportunities abound throughout the state, including five national parks, 43 state parks and recreation areas, and 15 alpine ski resorts. The home of USU’s main campus, Logan, is a city of 54,000-plus people in a picturesque mountain valley 80 miles north of Salt Lake City. The Logan metro area claimed the top spot in the Milken Institute’s 2022 ranking for best-performing small cities in the nation. 

 

*updated 04/2024

Notice of Non-discrimination:

In its programs and activities, including in admissions and employment, Utah State University does not discriminate or tolerate discrimination, including harassment, based on race, color, religion, sex, national origin, age, genetic information, sexual orientation, gender identity or expression, disability, status as a protected veteran, or any other status protected by University policy, Title IX, or any other federal, state, or local law.

The following individuals have been designated to handle inquiries regarding the application of Title IX and its implementing regulations and/or USU’s non-discrimination policies:

 

Executive Director of the Office of Equity Matthew Pinner, discrimination@usu.edu, Distance Education Rm. 401, 435-797-1266

Title IX Coordinator Cody Carmichael, titleix@usu.edu, Distance Education Rm. 404, 435-797-1266

Mailing address: 5100 Old Main Hill, Logan, UT 84322

For further information regarding non-discrimination, please visit https://equity.usu.edu/, or contact:

U.S. Department of Education, Office of Assistant Secretary for Civil Rights, 800-421-3481, OCR@ed.gov

*updated 09/2023