Compliance
Part of the Compliance 和 Records Management subdivision, we conduct compliance risk assessments of University business operations in cooperation with risk owners, who are responsible for controlling, communicating 和 monitoring compliance risks.
In addition to ensuring legal requirements are followed, we manage several University policies related to ethical behavior 和 corporate governance.
我们的 Role in Risk Assessments
We work with University departments' Compliance Liaisons to identify laws 和 regulations that impact their units' operations. 我们的 Compliance Analyst helps units identify, develop 和 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 和 controls (or the absence of procedures 和 controls) for complying with laws.
- Allows the University to be more proactive. By ensuring compliance early on, we can reduce surprises 和 associated costs (such as regulatory fines or litigation) later.
Compliance Liaisons' 联系s 和 Procedures
Compliance Liaisons
的 Compliance Liaison 联系 List provides the contact information for each unit’s Compliance Liaison.
Procedures 概述 for Liaisons
的 Compliance Liaison 概述 document includes information about Compliance Liaisons' responsibilities 和 objectives.