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Posted on 2 April 2020 | 2:40 pm
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Compliance Monitoring Officer
East Carolina University
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Compliance Monitoring Officer

East Carolina University

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Details
Posted:
November 18, 2023
Location:
Greenville, North Carolina
Salary:
Open

Job Duties:

The Compliance Monitoring Officer (CMO) supports management requirements for information by identification of financial compliance risks, developing advanced analyses of financial transactions and related actions, and designing accurate reports that provide ORA leadership, REDE, and management centers within the ECU colleges, schools, and centers/institutes with actionable data regarding effective sponsored programs management. These technical solutions provide a management resource to sponsored program managers, reduce risk, improve efficiency, and improve internal controls. The CMO assesses both potential audit risk and customer needs for tools to support compliant management, and helps to develop technical solutions, data-driven reporting, and other informative mechanisms for use by ADRs, department chairs, Hub personnel, ORA staff, and PIs in improved compliance oversight.

Key Responsibilities and Duties:
Expertise and Compliance – 45%
  • The CMO, in collaboration with the Director of Office of Compliance Monitoring, will utilize knowledge of sponsored program-related rules and regulations, as well as knowledge of ECU systems, to carry out the existing risk mitigation plan in support of ECU's growing sponsored program portfolio.
  • Conduct reviews of funded projects across the university, utilizing a standardized portfolio review model, develops a standardized schedule for these reviews and develops a standard format for reporting.
  • Supports and coordinates requests from external sponsors for audits, site visits, etc.
  • Conduct risk assessment process for sub-recipients and maintains an up-to-date database of audits of both pending and current sub-recipients, providing this information to the pre-award officers to utilize in contract negotiations.
  • Manages and maintains a database of audits for all pending and current ECU sub-recipients.
  • Maintains institution-wide metrics for assessment of ECU's sponsored program compliance risk and creates/maintains a high-level risk inventory with regular updates reflecting internal and external input.
  • Conduct and report portfolio reviews of sponsored programs throughout the year using a standard assessment and detailed discovery model.


Information Analysis & Decision Making – 30%
  • This position conducts comprehensive reviews of internal and external audits related to research administration to proactively identify potential risks to ECU and develops data-driven solutions to identify such risks.
  • Identify, analyze, and assess potential financial compliance risk through knowledge of federal, state, and non-government regulations and requirements, review of audits and findings of ECU and peer institutions, and knowledge of the federal compliance environment.
  • This position works closely with the REDE Data Analytics team to maintain existing and develop new financial management reports designed to facilitate oversight and reduce audit risk.
  • The CMO works cooperatively with the REDE Data Analytics team and the Financial Services Systems Coordination team to ensure that all technical solutions effectively and efficiently support proactive risk mitigation.
  • Maintain existing and develop new management-level reports regarding both institutional compliance risk and mitigation and anticipated potential risks for use by REDE senior leadership in support of reports to the ECU Provost, Chancellor, and Board of Trustees.

Consultation and Communication – 25%
  • This position requires interaction with a broad range of end-user clients including financial system users, research administration personnel, management, and other institutional officers.
  • Maintains and utilize multiple data reports and analyses to provide colleges, schools, institutes, and centers with actionable data to achieve risk mitigation.
  • This position provides critical reporting and interpretation regarding day-to-day, month-end, and year-end financial sponsored program operations.
  • Other duties as assigned.

Contingent upon availability of funds.

Special Instructions To Application:

East Carolina University requires applicants to submit a candidate profile online in order to be considered for the position. Candidates must also submit a cover letter, resume, and a list of three references, including contact information, online.

2-3 original letters of reference are required for employment. Please be aware that if selected as a candidate of choice, an automatic e-mail will be sent to the individuals entered by the applicant in the References section in the PeopleAdmin applicant tracking system. Letters of reference submitted via the PeopleAdmin applicant tracking system will be verified and considered towards meeting this requirement.

Applicants must be currently authorized to work in the United States on a full-time basis.

Minimum Education/Experience:

Relevant post-Baccalaureate degree required; for candidates demonstrating comparable analysis and assessment experience or professional-level background in sponsored research administration, will accept a relevant undergraduate degree and 3 or more years of relevant experience in substitution. Progressively responsible professional level experience with data analyses, compliance monitoring and advanced reporting related to sponsored programs data.

Full time or Part time: Full Time

Position Location (city): Greenville

Position Number: 500044

Organizational Unit Overview:

The Office of Research, Economic Development and Engagement (REDE) is responsible for research policy and integrity, research administration and contract negotiations across ECU for both the main campus and the health sciences campus. The office directs new intellectual enterprises, including technology transfer. Industry, military and government agency research partnerships and community engagement and economic development activities across the eastern half of North Carolina are also managed by the office. REDE is responsible for the following units under its umbrella: Office of Research Administration, Office of Human Subjects Protections, Office of Research Integrity & Compliance, Office of Research Development, Office of National Security & Industry Initiatives, Office of Economic & Community Engagement, Office of Innovation & New Ventures, Office of Licensing & Commercialization, Office of Postdoctoral Affairs, Office of Undergraduate Research, and the Institutional Animal Care & Use Committee.

Compliance Monitoring and Strategic Initiatives (CMSI), a standalone unit within the Office of Research Administration (ORA), is responsible for oversight and compliant management of the ECU sponsored programs portfolio of grants, contracts, cooperative agreements. As such CMSI ensures that the university is accountable for federal, state, and non-governmental funds, is protected from potential audit findings, and ensures that sponsored programs funds are appropriately expensed. CMSI is divided into three collaborating units that work in parallel to provide oversight, monitoring, analysis, training policy and procedure development and communication to the ECU research administration community. The mission of CMSI is to provide support for the compliant management of sponsored programs, utilizing professional expertise in all regulatory and technical aspects of risk identification and management in a customer-oriented, friendly environment while assuring the proper stewardship of all fiscal resources. CMSI reports to the Senior Associate Vice Chancellor for Research.

Internal Number: 65631
About East Carolina University
To be a national model for student success, public service and regional transformation, East Carolina University uses innovative learning strategies and delivery methods to maximize access; prepares students with the knowledge, skills and values to succeed in a global, multicultural society; develops tomorrow's leaders to serve and inspire positive change; discovers new knowledge and innovations to support a thriving future for eastern North Carolina and beyond; transforms health care, promotes wellness, and reduces health disparities; and improves qualify of life through cultural enrichment, academics, the arts, and athletics. We accomplish our mission through education, research, creative activities, and service while being good stewards of the resources entrusted to us. East Carolina University delivers on the promise of opportunity. We open doors. We improve lives. We transform the present, and we discover the future. In these ways and more, we serve our community, our state, our nation and our world as together we reach toward our greatest potential. Tomorrow starts here.
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