Assistant Director, Risk & Compliance

Overview

As part of the Office of Institutional Compliance and Enterprise Risk Management (ICERM), and under the supervision of the Chief Institutional Risk & Compliance Officer (CIRCO), the Assistant Director will support the work of the ICERM and the continued development of Yale’s risk and compliance programs.  This work includes developing plans and policies for managing risk and achieving compliance at Yale; assisting with the review, assessment, and remediation of specific risk, compliance, and control issues identified by the CIRCO and the Office of the General Counsel (OGC); and supporting ongoing initiatives and operations of the ICERM. The Assistant Director will bring to bear general expertise in compliance, risk management, internal controls, and project management to accomplish much of this work. The Assistant Director will have the opportunity to work on projects or initiatives involving various subject matter areas and units across the university and will support key ICERM and OGC processes in areas such as conflict of interest and risk assessment. The ICERM is part of the Division of the General Counsel, and includes Yale’s Institutional Compliance Program, Enterprise Risk Management, the Privacy Office (including HIPAA Privacy), and Insurance and Operational Risk Management.  The ICERM works closely with partners in the Office of General Counsel, University Audit and Advisory, the Controller’s Office, and many other offices and department across campus to support Yale in effectively managing risk and meeting its compliance obligations.  The Assistant Director will be a key member of this team. 

Required Skills and Abilities

1. Independent decision-making, problem solving, and planning skills; highly developed project management skills.
2. Outstanding oral and written communications skills; ability to express complex ideas with simplicity and brevity; active listener; and strong attention to detail.
3. Excellent interpersonal skills and ability to build successful relationships with a wide range of stakeholders across a complex, decentralized organization and work in concert with others to accomplish goals and objectives.
4. Capacity to be adaptable, patient, diplomatic, and flexible, while also having the ability to take charge and drive initiatives through to completion.
5. Strong understanding of the principles and practices of project management.
6. A general understanding of applicable laws, regulations, best practices, and related compliance issues in higher education, and expertise in compliance processes sufficient to assist organizations in complying with their legal obligations.

Preferred Skills and Abilities

Juris Doctor. Experience in working with committees or working groups on compliance matters.

Principal Responsibilities

1. Supporting the implementation of systems, practices, policies, and structures that improve the University’s decentralized compliance infrastructure in order to establish and maintain a uniform, risk-based institutional compliance program; nurture and shape a compliance culture, consistent with best practices; and enhance the University’s ability to prevent, detect, and address noncompliance with legal requirements.
2. Working with university stakeholders, planning and oversee the execution of projects to develop or improve compliance programs and processes; convene and coordinate cross-functional teams to solve complex compliance challenges; and support efforts to assess compliance risks and the effectiveness of existing compliance controls.
3. Implementing, in concert with stakeholders across the University, common criteria for conducting risk-based assessments of compliance functions to ensure that the University is meeting its compliance obligations, promoting values and behavior consistent with a compliance culture, and detecting and addressing noncompliance and adverse events through established escalation pathways.
4. Tracking new areas of compliance obligations, monitoring for changes to existing compliance requirements, and providing guidance on appropriate and responsive compliance measures.
5. Supporting oversight, communication, and monitoring systems to ensure effective exchange of information among stakeholders, senior management, and staff across multiple University offices and departments.

Required Education and Experience

Master’s degree or equivalent advanced degree and three years’ experience in some combination of project management, compliance, and risk management, or an equivalent combination of education and experience.