Detailed Job Description
FUNCTION & SCOPE:
A compliance professional with strong analytical skills and prior experience working in corporate compliance to work in the Office of Compliance Services and support the implementation of the Research Foundation’s board approved Compliance Program. The incumbent will interact with all levels of the Research Foundation and SUNY constituents, and report to the Chief Compliance Officer. With a focus on corporate ethics, the individual will be responsible for implementing the RF Code of Conduct and company policies and procedures; provide compliance advice, perspective, and analysis; conduct legal and regulatory research related to compliance matters; interpret legal and regulatory obligations related to compliance matters; and assess and analyze compliance risks and trends.
Responsibilities will include: assisting in the developing compliance related policies and procedures; providing employee ethics and compliance training, education, new employee orientation and ensuring the implementation of compliance training requirements for employees; support the investigation of complaints, concerns, and Ethics Hotline cases; assist the Compliance Officer with the implementation of key elements of the Compliance Program, the resolution of major compliance related issues, and overall compliance efforts.
- Provide daily support of initiatives supporting the implementation of the Research Foundation’s Compliance Program;
- Monitor the compliance plan for periodic updates and coordinate compliance related projects as necessary;
- Conduct research and provide analysis regarding current trends and best practices related to the elements of the compliance program including policy development, implementation, and administration; training and education; ethics, corporate values, and professional responsibility; and risk management and internal controls;
- Provide compliance training and education and support compliance education projects;
- Draft compliance related communications and reports, and help maintain tools and controls to ensure compliance with applicable laws and regulations;
- Act as a subject matter contact on corporate ethics polices and guidelines related to the Research Foundation’s Code of Conduct and Maintain a working knowledge of relevant ethics issues, of professional or industry ethics codes, and ethics conflicts resolution techniques;
- Assist function owners on pertinent regulatory matters in order to help them stay informed of changes in pertinent federal and state regulations, and local laws;
- Serve as a compliance team liaison to various corporate projects and initiatives as needed;
- Maintains logs, files, indexes, computer databases and other records pertaining to compliance, records management, conflicts management, and risk;
- Manage the policy administration process, ensure website content is up-to-date and usable, and provides guidance to other policy writers on style and content.
- Manage the process of signature delegation;
- Participates in compliance audits and assists with the monitoring of corporate activities and internal controls; and
- Perform other compliance and administrative functions to support the RF’s strategic and operating plans as assigned by the Chief Compliance Officer.
EDUCATION & EXPERIENCE
- Bachelor’s Degree in any discipline or major and 1-3 years of technical administrative and/or compliance related experience;
- General knowledge of ethics and compliance concepts, such as standards of conduct, business ethics, best practices, hotline management, and managing compliance related issues;
- Experience in large institutional or educational/academic setting is a plus;
- Proficiency in Microsoft Word, PowerPoint and Excel and the Apple ios environment with proficiency in tablet computing
- Strong work ethic, superior organizational skills, and ability to handle multiple tasks in a fast-paced environment under time constraints and work well independently and as a collaborative team member;
- Excellent verbal and written communication skills, including presentation and training capabilities and ability to relate and work well with people of many cultures, disciplines, and levels of experience;
- Experience with and/or appreciation for issues in representing academic research organizations and/or faculty, researchers, and academic administrators;
- Excellent Project Management Skills
- Maintains composure and uses good judgment under stressful circumstances;
- Optimistic attitude that thrives in a dynamic and complex working environment;
- Ability to accept corrections with grace and a sense of humor; and
- Display appropriate sensitivity to the confidential nature of the work, and promotes and exhibit high ethical standards, professionalism, and trustworthiness.
- Willingness to travel; and
- JD or MBA from an accredited law school or post graduate institution;
- Eligibility for certification as a Compliance and Ethics Professional or Certified Fraud Examiner
Review of applications will begin immediately and continue until the position is filled.
AS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER, THE RESEARCH FOUNDATION FOR SUNY WILL NOT DISCRIMINATE IN ITS EMPLOYMENT PRACTICES DUE TO AN APPLICANT’S RACE, COLOR, RELIGION, SEX, NATIONAL ORIGIN, AND VETERAN OR DISABILITY STATUS.
The Research Foundation for the State University of New York is not an agency or instrumentality of the State of New York. Employees of the Research Foundation for the State University of New York are not state employees, do not participate in any state retirement system, and do not receive state fringe benefits. The Research Foundation for the State University of New York operates under a contract with The State University of New York and receives no directly appropriated state funding.