Compliance
Part of the Compliance and Records Management subdivision, we conduct compliance risk assessments of University business operations in cooperation with risk owners, who are responsible for controlling, communicating and monitoring compliance risks.
In addition to ensuring legal requirements are followed, we manage several University policies related to ethical behavior and corporate governance.
Our Role in Risk Assessments
We work with University departments' Compliance Liaisons to identify laws and regulations that impact their units' operations. Our Compliance Analyst helps units identify, develop and implement controls to ensure compliance with applicable laws.
A compliance risk assessment:
- Helps identify situations where the University may not be in full compliance with a law.
- Documents procedures and controls (or the absence of procedures and controls) for complying with laws.
- Allows the University to be more proactive. By ensuring compliance early on, we can reduce surprises and associated costs (such as regulatory fines or litigation) later.
Compliance Liaisons' Contacts and Procedures
Compliance Liaisons
The Compliance Liaison Contact List provides the contact information for each unit’s Compliance Liaison.
Procedures Overview for Liaisons
The Compliance Liaison Overview document includes information about Compliance Liaisons' responsibilities and objectives.