Department: Risk, Audit, and Compliance Salary/Grade: EXS/7
The Compliance Analyst supports the work of Northwestern’s compliance program in the Office of Risk, Audit, and Compliance. Reporting to the Director of Compliance and working collaboratively with key stakeholders and partners throughout the University, the Compliance Analyst will focus predominantly on identifying and assessing compliance risks and developing ways to address and minimize these risks. The successful candidate will become familiar with the compliance obligations of units throughout the University and will work with those units to assess and improve the effectiveness of their compliance programs.
Assessments & Investigations
Research and formulate plans for conducting assessments of offices with operational responsibility for compliance with regulations and policies. Assist in developing standards and best practices for University investigations, supported by appropriate training.
Manage a caseload of assigned compliance assessments and investigations.
Conduct compliance assessments by reviewing activities of responsible offices, including examining records, operating practices, training materials and interviewing staff. Write reports that document findings and make recommendations for ways to strengthen internal controls or other aspects of compliance. Conduct follow-up meetings to assess progress and implementation of recommendations.
Conduct comprehensive investigations, including creating investigative plans, interviewing witnesses, analyzing records and data and creating spreadsheets or populating databases as necessary. Write reports that document findings, root causes, conclusions and make recommendations for corrective actions.
Clery Act Compliance
Administer action plans and strategies to ensure Northwestern University’s overall compliance with the Clery Act and associated regulations.
Work collaboratively with other University units, including Safety and Security, Student Affairs, Risk Management, Human Resources, the Office of General Counsel and the Title IX Coordinator to ensure the timely and appropriate collection, sharing, handling and analysis of information and the issuance of timely warnings and emergency notifications.
Identify, notify and effectively train (and coordinate training for) key institutional stakeholders, including Campus Security Authorities (CSAs), on the requirements of the Clery Act.
Lead the preparation, publication and distribution of the Annual Security and Crime Statistics Report. Collect, review and compile crime and disciplinary data from Safety and Security, CSAs and outside law enforcement.
Develop and implement procedures and data and recordkeeping systems to support Clery Act compliance. Establish methods to monitor and identify non-compliant activity.
Assist with developing, implementing and updating the University’s policies and procedures and web resources, to ensure effectiveness, consistency and ongoing compliance with the Clery Act. Stay abreast of pending changes to the Clery Act and other applicable laws and new regulations to determine the impact on the University, faculty, staff and students. Consult and interact with other institutions, federal agencies and entities outside of the University to discuss best practices, compliance concerns or regulatory interpretation; implement changes and best practices when applicable.
Data Collection & Trend-spotting
Work with University compliance partners to develop and implement procedures and systems for data collection.
Perform analytics to evaluate data and identify trends and risks to be addressed through compliance program planning and other means.
Policies & Procedures
Work with key University policy-owners to update, improve and develop comprehensive policies, procedures and guidelines.
Communications & Training
Assist in the development and implementation of a comprehensive communications and training strategy for University Compliance, utilizing websites and other resources.
Update the University community of new and existing compliance issues, policies and procedures.
Coordinate and collaborate with compliance partners and other units to develop and conduct University-wide training programs to help ensure that the University community understands the compliance responsibilities relevant to their work.
Perform other duties as assigned.
Successful completion of a full 4-year course of study in an accredited college or university leading to a bachelor's or higher degree in a major such as accounting, business administration, finance, or related; OR appropriate combination of education and experience.
2-3 years of progressively responsible professional experience in compliance administration or related field.
Proven experience conducting difficult and sensitive investigations in a large organization or government agency.
Proven experience investigating financial or other types of fraud; proficiency analyzing financial and other types of records.
Proven experience managing and organizing large quantities of electronic and other information.
Proven experience writing clear and well-documented reports.
Experience in reviewing and assessing effectiveness of programs.
Experience or familiarity with compliance principles and programs.
Maintain daily contact with supervisor. Perform quality assurance through listening in on calls or to recordings of calls and providing feedback to team as well as participating in quality improvement conversations with supervisors.
Perform quality assurance through listening in on calls or to recordings of calls and providing feedback to team as well as participating in quality improvement conversations with Director of Environmental Health and Safety and Executive Director of Health Service.
Liaise with Northwestern partners and stakeholders.
Maintain daily contact with Director of Environmental Health and Safety and Executive Director of Health Service.
Minimum Competencies: (Skills, knowledge, and abilities.)
Strong organizational and interpersonal skills; experience facilitating effective teamwork.
Ability to manage confidential and sensitive information with integrity and caution; excellent judgment.
Advanced computer skills using Microsoft Office Suite as well as experience creating and using databases.
Experience working in a higher education, law enforcement or hospital setting.
Preferred Competencies: (Skills, knowledge, and abilities)
Strong knowledge of and experience with research regulations affecting higher education preferred.
Northwestern University is an Equal Opportunity, Affirmative Action Employer of all protected classes, including veterans and individuals with disabilities. Women, racial and ethnic minorities, individuals with disabilities, and veterans are encouraged to apply. Hiring is contingent upon eligibility to work in the United States.
Internal Number: 39353
About Northwestern University
Northwestern University is a major private research university with 12 academic divisions located on three campuses in Evanston, Chicago, and Education City in Doha, Qatar. We have approximately 2,500 full-time faculty members, 17,000 graduate and undergraduate students, and over 5,700 full and part-time staff. Northwestern University combines innovative teaching and pioneering research in a highly collaborative environment. It provides students and faculty exceptional opportunities for intellectual, personal and professional growth.