Updated: 3 months ago
Location: Birmingham, ALABAMA



 General Summary

The Chief Risk and Compliance Officer (CR&CO), together with the President’s Risk Cabinet, establishes and facilitates the governance processes for UAB risk and compliance priorities. The CR&CO is the lead UAB senior executive responsible for oversight of the University-wide risk and compliance program, developing/implementing/overseeing the institutional risk assessments, providing advice and recommendations for resource investments to monitor, manage, and mitigate risk and/or compliance matters. Reports effectiveness of risk and compliance mitigation to UAB executive leadership. This position advances institutional risk maturity by coordinating risk and compliance mitigation priorities with appropriate partners, including the President’s Risk Cabinet, Executive Risk Oversight Committees, and others. Implements processes to identify, track, and report University and Unit key risk indicators and works with accountable parties to assure risks trending beyond acceptable levels are appropriately addressed.
This executive-level position reports to the President on strategy while receiving administrative and operational oversight from the Sr. VP of Financial Affairs and Administration, the Provost and the VP for Research. This position leads the President's Risk Cabinet and advises leadership on actions necessary to achieve and maintain an effective compliance program consistent with the elements described in the U.S. federal sentencing guidelines. This leader not only promotes compliance with laws, regulations, policies of state and federal agencies, and observance of UAB policies and procedures, but does this while supporting and exhibiting behavior consistent with the UAB Code of Conduct.
Where relevant, the CR&CO coordinates University risk and compliance efforts with UAB Health System Chief Compliance Officer for operating entities overseen and managed by UAB Health System and with the University of Alabama System Office Director of Risk and Compliance on activities overseen and managed by the Board of Trustees and/or Chancellor.
Primary Job Responsibilities:

• Manages the university privacy, ethics and compliance program
• Maintains UAB’s ongoing compliance risk assessment process
• As requested or necessary, provides consultation to senior management regarding risks or potential noncompliant events
• Identifies and develops initiatives to address and resolve areas of compliance concerns or emerging risk
• Coordinates resolution of issues with senior leadership and/or management of the compliance areas or business units
• Maintains a working understanding of the contemporary compliance landscape
• Cultivates relationships, enforcement focus or other compliance initiatives
• Serves as primary point of contact for the ethics and compliance hotline, including coordinating investigations and follow-up activities
• Administers the compliance program and coordinate with the internal audit function
• Recruits, develops and supervises staff of senior compliance and administrative support professionals
• Represents the privacy, ethics and compliance program on internal working committees
• Maintains an effective working relationship with general counsel, human resources and the information security offices
• Ensures program effectiveness by addressing governmental and governing body requirements, including Federal Sentencing Guidelines criteria
• Applies sound and balanced risk evaluation and risk mitigation perspective



• Bachelor’s degree required, advanced degree strongly preferred
• Seven (7) years of progressively responsible experience with the administration of a large and complex compliance program.
• Typically, successful candidates will have a combination of the certifications listed below:
  • Certified Compliance & Ethics Professional (CCEP)
  • Health Care Compliance (CHC)
  • Certification in Healthcare Research Compliance (CHRC)
  • Certified Public Accountant, (CPA)
  • Certified in Risk Management Assurance (CRMA)
• Demonstrated knowledge of research compliance gained through previous work experiences in a research intensive institution.
• Demonstrated skills in collaboration, critical analysis, problem solving and discretion,
• Demonstrated administrative and project management skills, particularly among cross-functional teams
• Ability to build consensus and communicate effectively with all levels of personnel with a combination of tenacity and tact
• Ability to balance and effectively prioritize numerous projects covering a variety of subject matters
• Excellent oral and written communication skills
Primary Location
: University
Job Category
: Professional & Managerial
: 110500000 Compliance & Risk Assurance Office
Employee Status
: Regular
Shift: Day/1st Shift
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