Director, Ethics and Compliance

The University of California, Merced, is the newest of the University of California system’s 10 campuses and the first American research university built in the 21st century. With nearly 8,500 undergraduate and graduate students, UC Merced offers an environment that combines a commitment to diversity, inclusion, collaboration and professional development. With bachelor’s, master’s and doctoral degree programs, strong research and academic partnerships, and community involvement, the UC Merced campus is continually evolving and requires talented, knowledgeable and dynamic educators, researchers, management and staff.

Ranked among the best public universities in the nation by U.S. News and World Report, UC Merced is uniquely equipped to provide educational opportunities highly qualified students from the San Joaquin Valley and throughout California. The campus enjoys a special connection with nearby Yosemite National Park, is on the cutting edge of sustainability in construction and design, and supports the economic development of Merced and the region.

In Fall 2016, UC Merced broke ground on a $1.3 billion public-private partnership that is unprecedented in higher education. The Merced 2020 Project will nearly double the physical capacity of the campus by 2020, enhancing academic distinction, student success and research excellence. In 2018, UC Merced opened the Downtown Campus Center, a $33 million, three-story administrative building located in the heart of Merced. 2020 will highlight the completion of the overall project and a new campus footprint.

ABOUT THE JOB

The Director, Ethics and Compliance manages the work of specific programs within the ethics and compliance function, including Ethics and Compliance Program (ECP), Campus Policy administration, and Campus Delegations of Authority. Manages the activities of professional staff in project and / or policy analysis and development. Develops project plans and staffing / financial needs to complete them. Determines long term and short-term strategic plans to achieve the objectives of the organization. Regularly interacts with senior management and administrators on matters concerning multiple functional areas. Directs and controls the activities of a broad functional area through department managers.

KEY RESPONSIBILITIES:

1) Ethics and Compliance Program: Implements the ethics and compliance strategic plan and works with management in all areas to promote a culture of accountability, ethics, and compliance. Acts as Campus Ethics and Compliance Program (ECP) Lead to support CECO, Deputy CECO and Executive Leadership in shaping and maintaining a program that drives principled and compliant behavior and awareness on campus, and actively reduces or mitigates adverse risks. Administers campus programs that promote a culture of accountability and ethical decision-making, helps the campus and individual units identify and mitigate risks, and strengthens compliance culture through ongoing collaboration and monitoring. Manages complex analyses across ethics and compliance programs, policies and initiatives. Oversees and participates on all ECP committees to ensure entity risk management program works to apprise management of emerging risks that need leadership attention. Helps lead the annual campus-wide risk assessment that identifies high risk areas, prepares and facilitates execution of compliance action plans that mitigate significant risks; and develops and provides training and communication that supports an ethical and compliant workplace.

2) Internal Reviews and Monitoring: Provides direction and oversees development and implementation of ethics and compliance processes for high risk program areas. Oversees the quality and quantity of projects requested by management. Distributes and sets up work within those projects; and monitors the progress of work. Develops proposals for changes in policy and trainings as appropriate. Performs and/or oversees performance of internal compliance and controls reviews and fact finding to identify compliance gaps and potential process improvements, and identifies and implements ad hoc compliance committees where appropriate to solve complex campus problems. Provides direction and oversees monitoring methods and techniques for important compliance areas including but not limited to, mandatory training, laboratory safety, affirmative action, human resources policy and laws, Higher Education Opportunity Act (HEOA) requirements, Child Abuse and Neglect Reporting Act (CANRA), conflict of interest, and business policies and processes. oversees performance of analytical reviews and analysis, and develops reports and dashboards to inform senior leadership.

3) Policy and Accountability: Administers campus policy and procedure program. Manages professional staff in project and / or policy analysis. Provides direction and development opportunities to subordinates as necessary. Oversees development, preparation, review, maintenance and monitoring of campus policies and procedures and serves as campus advisor. Ensures policies and procedures are properly vetted, approved and communicated. Ensures legal requirements are appropriately followed for policy and procedure changes when appropriate. Advises and assists campus with appropriate rollout, communication and training of policy and procedure requirements. Oversees the quality and quantity of projects requested by management. Distributes and sets up work within those projects; monitors the progress of work.

4) Delegations of Authority: Oversees professional staff in administering campus delegations of authority program. Oversees and provides guidance on maintenance and preservation of current and historic campus delegations of authority. Assists campus units in identifying and drafting compliant delegation of authority documents and helps guide management and staff to ensure an appropriate accountability structure and efficient operations with proper authority and controls.

5) Training, Outreach, Staff Development: Serves as subject matter expert in main areas of assigned responsibility and promotes growth and development of staff. Oversees development and coordination of compliance and policy communications, and strategies for education and implementation. Oversees development of training programs, workshops and outreach activities to further ethics and compliance awareness. Responsible for training staff on specific projects to support ethics and compliance activities. Participates in the selection, development and evaluation of staff to ensure the efficient operation of the function.

Qualifications: – Bachelor’s degree in related area AND 5 years of directly related experience, or 9 years of equivalent experience / training.

• Has broad and thorough knowledge of the compliance and ethics profession, theories, and standards.

• Ability to supervise support and professional analyses functions for compliance and ethics programs.

• Ability to demonstrate professional judgment in the supervision of projects and staff.

• Ability to work independently and within a team environment.

• Comprehensive project management skills.