JOB DESCRIPTION COMPLIANCE ANALYST
Job Code:  3762 Level:  12 Job Family:  28, Administrative and Managerial	Effective Date:  7/20/06 FLSA:  Exempt

Occupational Summary:

Assist with implementation of Corporate Compliance Program. Administer overall compliance program as developed by the Compliance Director and the Compliance Operating Committee to include monitoring operational compliance units, analyzing risk assessments, and researching risk assessment based on federal, state, local regulations, accreditation standards, and Duke University.
 
 

Work Performed:
 
Assist in research and development of materials for educational programs related to all aspects of compliance, including Federal Sentencing Guidelines, Office of inspector General expectations, and responses to investigations.

Establish a data base (ongoing) of other institutions' approaches to compliance, including creation of a materials file.

Review a wide variety of organization policies and procedures to ensure compliance with legal, accreditation, and internal standards. Analyze exiting policies, identify gaps and recommend new/revised policies and procedures, approval processes, and monitoring methods for departmental use. Review detailed departmental processes and policies noting deficiencies.

Receive risk assessments and analyze the effectiveness of the plan, identifying areas for improvement. Develop monitoring plan to determine steps to address risks monitoring in the risk assessment plans is executed. Prioritize issues in risk assessments based on level of institution exposure. Receive quarterly reports on status of risk monitoring and analyze reported results identifying trends and developing corrective action where appropriate.

Plan and conduct compliance monitoring reviews including review schedule. Verify compliance plans against established policies and procedures and applicable regulations. Develop recommendations for corrective action based on review findings and works with department management to refine recommendations. Develop presentation for department management on results of review.

Follow up on reviews to verify that corrective actions have been implemented.

Prepare written reports including developing recommendations for corrective action and present reports and recommendations to Operational Compliance Directors and the Compliance Committee.

Recommends education plans for department staff to ensure future compliance. If necessary, assists with development of educational plans, materials and resources used to educate employees on compliance program objectives.

Receive confidential questions/concerns from employees concerning compliance situations. Investigate questions/concerns received by e-mail, voice-mail, "hotline," drop-ins, etc., to determine specifics and provide recommendations for resolution or refers concern to appropriate individual(s) for follow-up.

Assist and advise University Compliance Director on budgetary issues; prepare for approval by department or division head initial budgetary recommendations by considering past requirements and expenditures and present program plans.

Develop and recommend policies and procedures related top operations; establish guidelines and procedures to enhance customer service; plan and conduct meetings to ensure compliance with established procedures, and to implement new policies.

Serve as departmental liaison (for Compliance) with administrative personnel concerning University policies and procedures.

Maintain liaison with all levels of administration to coordinate department business, accomplish objectives, and facilitate the resolution of problems.

Perform a variety of administrative duties with latitude for exercising discretion and judgment. Receive and answer correspondence both in the name of the incumbent and in the name of the University Compliance Director.

Arrange for, schedule appointments for the University Compliance Director, including interviewing callers, and making proper referrals; supervise the preparation of materials for meetings.

Enters, tracks and trends reported concerns utilizing department software.

Maintain up-to-date job knowledge through professional reading, conference and seminar attendance.

Assist the Director of Compliance with projects and special requests.

Perform other related duties incidental to the work described herein.

EDUCATION/TRAINING
 
 Work generally requires organizational, analytical and communication skills normally acquired through the completion of a bachelor's degree program in accounting or a directly related field.

Compliance Academy certification

Commitment to completion of Duke University Research Cost Compliance certification

EXPERIENCE
 
 Work requires a minimum of 2 years experience in compliance or auditing setting, in a large and complex organization, such as a large public or private university, hospital or large healthcare provider.

OR ANY OTHER EQUIVALENT COMBINATION OF RELEVANT EDUCATION AND/OR EXPERIENCE.

 
  SKILLS

Excellent verbal and written communication skills including ability to interact positively with a wide variety of individuals, including senior leadership. Sound decision-making ability taking into account all information and utilizing a "big picture" approach. Demonstrated ability and willingness to learn and apply new and upgraded computerized systems to job responsibilities. Personal computer use including use of software tracking mechanism for compliance issues, word processing, spreadsheet, and presentation programs. Ability to collaborate with others in seeking resolution of problems. Ability to gather information from multiple sources in order to gain a thorough understanding of problems. Ability to prepare and delivery presentations based on data received and analyzed

Effective date: 07/20/06

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