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Duke University Job Description: |
Job Title: COMPLIANCE ANALYST |
Job Code: 3762 |
FLSA: E |
Job Level: 13 |
Revised Date: 07/19/2006 |
Job Family: JF 28 |
Assist with implementation and administration of Corporate Compliance Program as developed by the IECP Director to include monitoring operational compliance units, analyzing risk assessments, and researching risk assessments based on federal, state and local regulations, accreditation standards and Duke University policies and procedures.
Assist in research and development of materials for educational and communication programs related to all aspects of compliance, including Federal Sentencing Guidelines, Office of Inspector General expectations, and responses to investigations. Assist Director in educational sessions related to compliance issues and trends.
Maintain and develop improvements for IECP data base of laws and regulations pertinent to Duke operations. Ensure capture, for each item, of complete data related to legal citations, assigned Compliance Liaison, Senior Leader Owner, risk assessment, monitoring plan, training plan and monitoring results.
Manage annual risk assessment and inventory review process for identified compliance items. Receive risk assessments and analyze the effectiveness of the Plan, identifying areas for improvement. Prioritize issues in risk assessments based on level of institutional exposure.
Receive quarterly reports on status of risk monitoring and analyze reported results identifying trends and developing corrective action where appropriate.
Plan and conduct compliance monitoring reviews including review schedule Verify compliance plans against established policies and procedures and applicable regulations. Verify documentation to support certified monitoring plans where applicable. Develop recommendations for corrective action based on review findings and work with Compliance Liaisons to refine recommendations.
Follow up on reviews to verify that corrective actions have been implemented.
Review a wide variety of organization policies and procedures to ensure compliance with legal, accreditation and internal standards. Analyze existing policies, identify gaps and recommend new/revised policies and procedures, approval processes, and monitoring methods for Compliance Liaison use.
Perform screening, follow up and initial recommendations for management plans related to disclosures of potential Administrative Conflicts of Interest (ACOI). Manage ACOI system and coordinate with other Duke COI offices on disclosures related to Institutional COI.
Receive confidential questions/concerns from employees concerning compliance situations. Investigate questions/concerns received by e- mail, voice-mail, external hotline, drop-ins, etc. to determine specifics and provide recommendations for resolution or refer concern to appropriate individual(s) for follow up.
Coordinate information related to external audits and investigations through interactions with University Counsel and Compliance Liaisons.
Prepare summaries and reports related to the above duties for review committees and senior leadership.
Prepare budget and expenditure reports for Director and assist in overall IECP management.
Perform other related duties incidental to the work described herein.
| Education/Training: | Work requires organization, analytical and communication skills normally acquired through the completion of a bachelor's degree program in accounting or a directly related field. Certification in one or more compliance fields preferred. |
| Experience: | Works requires a minimum of 2 years experience in compliance or auditing setting, in a large complex organization such as a large university, hospital or healthcare organization or an accounting/consulting firm working primarily with such clients. OR AN EQUIVALENT COMBINATION OF EDUCATION AND/OR EXPERIENCE |
| Skills: | Excellent verbal and written communications skills including ability to interact positively with a wide variety of individuals including senior leadership. Sound decision-making ability taking into account all information and utilizing a "big picture" approach. Ability to collaborate with others in seeking resolution of problems. Ability to gather information from multiple sources in order to gain a thorough understanding of problems. Ability to prepare and deliver reports and presentations based on data received and analyzed. Demonstrated ability and willingness to learn, apply and recommend improvements to processes related to job duties including computerized systems to support those processes. Personal computer use including word processing, spreadsheet, data base and presentation programs. |
The intent of this job description is to provide a representative and level of the types of duties and responsibilities that will be required of positions given this title and shall not be construed as a declaration of the total of the specific duties and responsibilities of any particular position. Employees may be directed to perform job-related tasks other than those specifically presented in this description.
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Certain jobs at Duke University and Duke University Health System may include essential job functions that require specific physical and/or mental abilities. Additional information and provision for requests for reasonable accommodation will be provided by each hiring department.