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Enterprise Risk Management

Compliance

Working with risk owners, Compliance conducts risk assessments of University business operations to ensure that legal requirements are followed.  In addition, we manage several University policies related to ethical behavior and corporate governance.

How We Can Help - Risk Assessments

We work with department Compliance Liaisons to identify laws and regulations that impact their units and unit's operations.  The 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 and forward-looking - by ensuring compliance now, we can reduce surprises and associated costs (such as regulatory fines or litigation) later.

Compliance Liaisons

The Compliance Liaison Contact List provides the contact information for each division’s liaison.

Procedures Overview for Liaisons

The Compliance Liaison Procedures document includes information about liaisons responsibilities and objectives.