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DIR, SPNSRD PROG ASSUR & RES COMPLIANCE

Job Title: DIR, SPNSRD PROG ASSUR & RES COMPLIANCE
Job Code: 2422
FLSA: E
Job Level: 98
Revised Date: 10/01/2020
Job Family: JF 28

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Occupational Summary

The Sponsored Programs Assurance and Research Compliance Director supports the mission and objectives of the Office of Audit, Risk and Compliance through highly engaged support of the Chief Audit, Risk and Compliance Officer and principal auditors assigned to the engagements. The Sponsored Programs Assurance and Research Compliance Director also assists in performing risk assessments, client communication, audit and advisory project planning and execution, engagement leadership, report delivery and follow-up consultation. Valuable professional attributes include risk-based assurance and compliance leadership experience, in- depth knowledge of sponsored programs administration processes, strong relationship building skills, confident communication style, appropriate assertiveness, diplomacy, personal initiative, and the ability to facilitate collaboration across all levels of the institution.

Work Performed

Audit, Advisory and Compliance Program Leadership and Delivery:

Periodically perform SPARC strategic planning and goal setting.

Assess research compliance risks in consultation with the federated compliance liaisons.

Design and deliver the annual assurance plan.

Perform preliminary planning and establish direction for audits, provide leadership to team members, and guide project outcomes.

Coordinate planning and audit activities with priorities set by the Vice President for Research and based upon management's monitoring activities.

Manage the annual assurance plan and maintain appropriate work flow prioritization.

Monitor key performance indicators for sponsored programs compliance objectives and department performance expectations.

Lead the inquiry and/or investigation of research non-compliance allegations within the organization.

Review industry, trade and regulatory publications for audit considerations.

Relationships/Personnel:

Foster Duke's Values.

Maintain a strong client service focus by developing productive working relationships and regular communication with key client personnel.

Foster a consultative role with management and client personnel.

Ensure audit activities are coordinated with and complementary to the responsibilities and work performed by the university internal audit function within OARC.

Participate and partner with clients on advisory groups or steering committees.

Coach and mentor team members.

Ensure effective communication throughout engagements.

Foster involvement in professional organizations to shape and influence the value of OARC assurance and compliance services.

Facilitate discussions on new ideas and opportunities for adding value to sponsored programs administration and research integrity.

Technical Expertise:

Function as the subject matter expert for sponsored programs administration and compliance expectations and activities, including ongoing engagement in emerging issues, changing regulatory requirements and changes to Duke policies, procedures and processes.

Identify, research and discuss emerging issues relevant to sponsored programs administration and the related risk and internal control environment.

Guide team members to explore potential risks or issues and validate potential implications.

Coordinate knowledge sharing.

Comprehensive industry knowledge of sponsored programs administration and compliance (including federal, state, foundation and commercial funding sources), including interpreting and applying regulations, contracting terms and conditions, constituent expectations, and institutional risk tolerance is a requirement.

Perform other related duties and manage other projects incidental to the work described herein.

Required Qualifications at this Level

Education/Training

Bachelor's degree required; advanced degree desired in accounting, economics, business administration or related field is required; a degree in accounting and experience auditing or significant experience relevant to the position is strongly preferred. Comprehensive industry knowledge of sponsored programs administration and compliance (including federal, state, foundation and commercial funding sources), including interpreting and applying regulations, contracting terms and conditions, constituent expectations, and institutional risk tolerance is a requirement. CPA or CIA strongly preferred. Industry recognized sponsored programs administration certification or designation will be considered favorably.

Experience

Minimum of 10 years of compliance experience and progressive leadership responsibilities in an academic, research or other complex compliance environment, with working knowledge or experience in sponsored program management, human subjects research, privacy requirements, clinical trials, responsible conduct of research, regulatory affairs, lab safety and biosafety, environmental health and safety, athletics compliance, and international activities.

Skills


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 Affirmative Action/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, sex, sexual orientation, or veteran 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.