Compliance Manager

Compliance Manager

Caltech

Job Category: Fulltime Regular

Exempt Overtime Eligible: Exempt

Benefits Eligible: Benefit Based

Caltech is a world-renowned science and engineering institute that marshals some of the world's brightest minds and most innovative tools to address fundamental scientific questions. We thrive on finding and cultivating talented people who are passionate about what they do. Join us and be a part of the diverse Caltech community.

Job Summary

As part of the Audit Services and Institute Compliance team, the Compliance Manager plays an important role in strengthening compliance across Campus and the Jet Propulsion Laboratory (JPL). This individual leads and conducts compliance assessments, guides cross-functional working groups, and drives key initiatives that enhance institutional controls and ensure alignment with laws, regulations, contracts, and grants. The Compliance Manager may also oversee special projects that support the ongoing growth and integrity of the Institute Compliance Program.

Essential Job Duties

• Manage and conduct compliance assessments in accordance with ASIC policies and in line with an Effective Compliance and Ethics Program as documented in the United States Sentencing Commission (USSC) Federal Sentencing Guidelines (FSG).
• Manage or facilitate large, complex working groups and/or compliance projects of organizational compliance systems, processes, and controls; assignments may be highly sensitive and have Institute-wide impact.
• May manage advisory or special projects in accordance with Federal or State requirements, or Department of Justice Evaluation of Corporate Compliance Programs regarding industry best practices.
• Maintain metrics for Institute Compliance Program dashboards to support data-driven decision-making across the Institute.
• Manage compliance team assignments and perform necessary work paper review to ensure adequate completion of compliance projects.
• Manage follow-up activities for gaps identified during compliance assessment and governance activities at Campus and JPL to ensure timely implementation of corrective actions. Track mitigation activities until addressed by management.
• Review compliance and special project documentation of compliance teams to ensure they support conclusions and results based on appropriate analyses and evaluations.
• Communicate the results of compliance assessments, projects, and working group activities via written deliverables and oral presentations to management.
• May conduct investigations of suspected irregular conduct in conjunction with other Institute resources.
• Provide guidance and direction to compliance teams in identifying compliance gaps or deficiencies and effective recommendations for improvement.
• Work directly with all levels of the Caltech community.
• Develop and maintain customer and staff relationships.
• Assist in the development of ASIC's annual risk assessment and Five-Year Compliance Assessment and Testing Plan.
• Assist in ASIC continual improvement efforts, developing new methodologies and documented procedures for internal activities.
• May serve on Institute committees representing ASIC.
• Provide input to ASIC operating strategy based on departmental goals.
• Stays abreast of current risk and compliance trends and issues in higher education and aerospace.
• This position supervises personnel who are assigned to individual projects that they are managing.

Basic Qualifications

• Bachelor's degree in environmental health and safety, business or related field.
• Eight years of compliance and advisory experience.
• Mastery of skills in providing compliance and advisory services to large, complex technical and non-technical Campus and JPL operations.
• Comprehensive knowledge of laws, regulations, grants, and contracts to identify discrepancies in organizational policies, practices, and/or procedures.
• Excellent analytical skills with ability to identify and assess risk and exposures across a wide variety of processes.
• Excellent project management and organizational abilities.
• Skilled at providing guidance and development to subordinates working on compliance assignments.
• Strong ethical values and leads others by example.
• Excellent interpersonal, written and oral communication skills.
• Self-starter with the ability to work as part of a team or independently as an individual contributor.
• Strong customer focus.
• Demonstrated commitment to continuous improvement.
• The selected candidate must have necessary credentials to work at JPL: US Citizenship or Permanent Residency.

Preferred Qualifications

• Eight years of compliance and advisory experience in higher education or aerospace is preferred.
• Supervisory or management experience preferred.

Required Documents

• Resume.