The Office of Risk and Compliance
The Office of Risk and Compliance safeguards the institution by ensuring adherence to legal, regulatory, and ethical standards while proactively managing risk and fostering a culture of integrity. Through a coordinated and proactive approach, the office helps the University identify, assess, and manage risk while ensuring compliance with applicable laws, regulations, and institutional policies.
Primary Services and Oversight Areas
The Office oversees several key functional areas that work together to support a safe, equitable, and well-governed campus environment:
Compliance – Establishes and maintains programs that ensure adherence to legal, regulatory, and policy requirements, while providing guidance and oversight across the institution.
Enterprise Risk Management (ERM) – Implements a comprehensive framework to identify, evaluate, and manage risks that may impact the University’s strategic objectives.
Non-Discrimination – Promotes an inclusive environment by ensuring compliance with non-discrimination laws and policies and addressing related concerns.
Protection of Minors on Campus – Safeguards the welfare of minors participating in University programs through policy development, education, and oversight.
Title IX – Addresses issues related to sex-based discrimination, including sexual harassment and misconduct, ensuring compliance with federal regulations and fostering a safe campus community.
Together, these units support the University’s mission by strengthening governance, mitigating risk, and upholding the highest standards of integrity and respect.
Facilitate and support compliance governance committees across the institution
Conduct functional compliance assessments to evaluate program maturity and effectiveness
Maintain a comprehensive inventory of applicable laws, regulations, and institutional compliance requirements
Provide guidance to senior leadership on risk management, continuous improvement initiatives, and responses to potential noncompliance
Partner with departmental compliance liaisons to monitor risks and ensure alignment with external regulations, as well as internal policies, procedures, and training programs
Assess and monitor conflicts of interest for employees in key administrative roles and areas with significant access or influence
Oversee and coordinate institutional reporting processes, including incident intake, investigation, helpline administration, and appropriate case response
Provide training and resources to university staff, faculty, and students to ensure that all members of the university community understand their compliance obligations and the importance of ethical conduct.