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DIR, ASSURANCE & COMPLIANCE SERVICES
Job Title: DIR, ASSURANCE & COMPLIANCE SERVICES
Job Code: 1144
FLSA: E
Job Level: 98
Revised Date: 04/01/2024
Job Family: JF 28
Occupational Summary
The Director leads and coordinates the integrated work plan for the client entity/entities. This leadership role is supported by an associate director and a staff of principal auditors. The Director also collaborates with executives, senior leadership, functional managers, and process owners to assess risks, evaluate the current internal control environment and business activities, test the efficacy of risk management and compliance procedures, advise on planning for future process changes or technology system upgrades, and consider the potential effects of emerging risks areas. The director is responsible for building and maintaining professional relationships with key stakeholders, participating on interdisciplinary committees and working groups, being active in appropriate professional organizations and representing Duke in the internal, local and national communities. The Director must be a strategic thinker and purpose-driven professional who is comfortable with ambiguity, aware of organizational dynamics, willing to be adaptable and be flexible, values coaching and mentoring, and exercises independent thought and self-motivation.
Work Performed
Develop a flexible engagement work plan using risk analyses and discussion with management.
Communicate the engagement work, results, risk trends and proposed changes to the annual plan to the audit and compliance committee(s) at each meeting.
Implement the annual engagement work plan, as approved by the audit and compliance committee, including any special tasks or projects that arise during the plan year.
Maintain a professional staff with sufficient knowledge, skills, experience, and professional certifications to perform engagements in compliance with applicable professional standards.
Facilitate risk assessment processes or assist management with risk assessment initiatives as part of the enterprise-wide risk management effort.
Provide assessments on the adequacy and effectiveness of processes for controlling business and compliance activities and managing risks based on audits performed.
Report issues and observations related to the processes for controlling the business and compliance activities, including potential improvements to those processes, and provide information concerning such issues through resolution.
Perform advisory engagements to assist management in meeting its objectives. Examples may include facilitation, process design, training and other similar services.
Lead the investigation of significant suspected fraudulent activities within the organization.
Perform other related duties incidental to the work described herein or as assigned by the Chief Audit, Risk and Compliance Officer.
Required Qualifications at this Level
Education/Training
Work requires Bachelor's degree required; Masters degree preferred.
Experience
Work requires a minimum of 10 years of relevant work experience, showcasing a proven track record in successfully leading, managing, and developing high-performing teams. Exceptional communication and presentation skills are essential, specifically in interactions with governing boards, senior leadership, and functional area management and staff. The ideal candidate will have recent experience in the not-for- profit industry, preferably within a comprehensive top-tier research university or academic medical center setting.
Skills
N/A
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.
Duke University is an Equal Opportunity Employer committed to providing employment opportunity without regard to an individual's age, color, disability, gender, gender expression, gender identity, genetic information, national origin, race, religion, (including pregnancy and pregnancy related conditions), sexual orientation, or military status.
Duke aspires to create a community built on collaboration, innovation, creativity, and belonging. Our collective success depends on the robust exchange of ideas-an exchange that is best when the rich diversity of our perspectives, backgrounds, and experiences flourishes. To achieve this exchange, it is essential that all members of the community feel secure and welcome, that the contributions of all individuals are respected, and that all voices are heard. All members of our community have a responsibility to uphold these values.
Essential Physical Job Functions
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.
