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DIRECTOR, INSTITUTIONAL COMPLIANCE PROGRAMS

Duke University

BACKGROUND

The regulatory and legal environments in which Duke operates are highly dynamic. This complexity requires us to constantly strengthen our compliance program by understanding and informing the Duke community of key requirements, working to reduce administrative burden, having resources to provide guidance in real time, and encouraging individuals to speak up so concerns can be readily addressed. Duke’s commitment to compliance excellence is reinforced through leadership engagement, mission and values alignment, integration with enterprise risk management, support for in compliance program talent, investment in tools and resources, and collaborative engagement with our staff, faculty and governing boards.

This role is responsible for guiding the university privacy program, institutional compliance services – dual interests management, sanction and debarment monitoring, case management coordination – and an effective federated compliance structure through a combination of centralized services, compliance liaison coordination, ongoing evaluation of compliance program performance, methods to detect and prevent material noncompliance, and administration of the speak-up program.

REPORTING RELATIONSHIP

The institutional compliance program is sponsored by the executive leadership team and seeks guidance on risks and priorities through the advisory committee comprised of compliance owners and faculty representatives. The position reports to the Chief Audit, Risk and Compliance Officer. The Director provides regular updates to the Audit and Compliance Committee of the Duke University Board of Trustees and, upon request, speaks privately with the committee.

OCCUPATIONAL SUMMARY

The Director plays a vital role in fulfillment of its commitments to compliance and integrity and supporting Duke's Values. The Director provides leadership and guidance in establishing and implementing an effective compliance and privacy program that addresses regulatory requirements applicable to an elite international university, first tier research institution and academic medical center conducting clinical trials.

Success depends on a risk-based, consultative approach to define priorities; a commitment to foster strong relationships and open communication among executive sponsors, functional area leaders, compliance owners and liaisons, and members of the governing board; and dedication to cultivating behaviors and actions that uphold and reinforce quality, integrity, accountability and transparency. The Director acts as an advisor to the compliance risk owners and decentralized compliance risk management leadership (designated risk owners and liaisons).

Based on the annual risk assessment and the prevailing enforcement landscape, the Director coordinates assurance and monitoring activities to evaluate policies, processes, responsibilities and outcomes that support compliance with applicable statutory, regulatory and other standards. The Director sets priorities and supervises teams dedicated to executing the compliance program responsibilities for privacy, compliance services and compliance assurance monitoring.

The Director serves on various internal working groups, steering committees and advisory boards in the role of compliance advisor and/or compliance program oversight.

The Director must exhibit independence and objectivity in reviewing and evaluating compliance policy, programs, processes, activities, and reported issues or concerns. The Director must also demonstrate creativity, foresight and exceptional judgment in thought, actions and relationships.

POSITION RESPONSIBILITIES

Program Design

  • Serve as Convener for the Institutional Compliance Advisory Committee, including prioritizing topics, preparing advance materials, preparing records of the discussions, recommendations and decisions, and following up on action items.
  • Manage the institutional compliance programs, ongoing compliance risk assessment process, and compliance maturity initiatives; coordinate assurance activities with the internal audit function.
  • Maintain the working inventory of key laws and regulations and related key compliance requirements (compliance risk universe), priority assessments, monitoring results, reporting requirements and risk management plans.
  • Identify and develop initiatives to promote quality compliance outcomes and address and resolve areas of compliance concerns or emerging risks.
  • Oversee and maintain the university privacy program and coordinate strategy with the health system privacy program.
  • Ensure program effectiveness by addressing governmental and governing body requirements, including Federal Sentencing Guidelines and the elements of an effective compliance program.
  • Recruit, develop and supervise the compliance services and privacy teams.

Relationships and Collaboration

  • Provide consultation to senior management regarding risks, continuous improvement initiatives and response to potential noncompliance events.
  • Represent the institutional compliance program on internal working committees and review boards.
  • Strengthen the compliance environment by working closely with the federated compliance liaisons and compliance risk owners, raising awareness of emerging risks, enforcement landscape and institutional risk management.
  • Collaborate across centralized and federated leadership to understand disparate needs and negotiate solutions that support risk management goals.
  • Maintain a close working relationship with the Office of Counsel for evolving interpretation of requirements and with and risk officers/liaisons for ongoing priorities and activities.
  • Coordinate or assist with responses to material or significant compliance events and/or regulatory agency inquiries.
  • Cultivate relationships with peers and subject matter experts to facilitate anticipatory evaluation of new regulations, enforcement focus or other compliance initiatives.

Monitoring and Evaluation

  • Monitor the enforcement landscape and evaluate process and risk tolerance alignment.
  • Evaluate design and performance effectiveness of compliance activities.
  • Coordinate resolution of issues with senior leadership and/or management of the compliance areas or business units.
  • Prepare updates and reports for senior leadership, steering committees and governing boards.

MINIMUM QUALIFICATIONS

Education

Bachelor's degree required; Juris Doctorate or other relevant advanced degree strongly preferred.

Experience

Minimum of 10 years of compliance experience and progressive leadership responsibilities in an academic, research or other complex compliance environment.

Demonstrated collaborative leadership, thoughtful communication and sincere interpersonal style.

History of success in assessing compliance risks, evaluating compliance program performance and leading high-performing teams in a complex environment.

Duke 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 essentialjob 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.

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Confirmed 14 hours ago. Posted 30+ days ago.

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