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Compliance Program Director

Institution: Yale University
Location: New Haven, CT

yale

Yale University seeks a collaborative, persuasive, and strategic leader to be its first university-wide Compliance Program Director. Reporting to the Vice President and General Counsel and serving as a key member of the university’s management-led Audit, Risk, and Compliance Committee (ARCC), the Director is responsible for establishing and implementing an organizational framework to coordinate and systematize the university’s Compliance Program.

Yale University

Founded in 1701, Yale is committed to improving the world today and for future generations through outstanding research and scholarship, education, preservation, and practice. Yale educates aspiring leaders worldwide who serve all sectors of society. Yale carries out this mission through the free exchange of ideas in an ethical, interdependent, and diverse community of faculty, staff, students, and alumni. Yale has grown from a small local college into a world-leading major research university with global reach. Its over 12,000 students come from all 50 American states and over 100 countries. The over 4,000-member faculty is a diverse group of men and women who are leaders in their respective fields.

Yale is a major research university with an annual budget of $3.2 billion, research expenditures in FY2015 of $673.7 million, and an endowment of approximately $25.6 billion. Yale conducts graduate and professional education and research in 13 graduate and professional schools: the Graduate School of Arts & Sciences, Divinity, Engineering & Applied Science, Forestry & Environmental Studies, Law, Management, Medicine, Nursing, Public Health, and four schools of the arts: Architecture, Art, Drama, and Music. It is home to one of the world’s great libraries and three outstanding museums and galleries — Peabody Museum of Natural History, the Yale University Art Gallery, and the Yale Center for British Art.

Yale’s governing board, known as the Yale Corporation, comprises ten trustees elected by successors to the original trustees, six trustees elected by the alumni, and the president of the university. The Yale Corporation oversees major policy, planning, and strategic vision for the university. Peter Salovey, appointed in 2013, currently serves as Yale’s 23rd president.

Yale’s central campus covers 310 acres stretching from the medical center just south of downtown New Haven to tree-shaded residential neighborhoods around the Divinity School. Yale’s West Campus, located seven miles west of downtown New Haven on 136 acres, includes 1.6 million square feet of research, office, and warehouse space that provides opportunities to enhance the university’s medical and scientific research and other academic programs. The university also maintains over 600 acres of athletic fields and natural preserves a short ride from the center of town. Yale and the City of New Haven have been strong partners in the redevelopment and revitalization of the downtown area.

Compliance at Yale

The Director will be charged with articulating the elements of the university’s compliance program and establishing standards for implementation across compliance functions and activities, and will propose ways to integrate compliance functions and activities in order to achieve efficiencies, reduce risk and encourage the highest ethical standards of conduct for those who represent the university and act on its behalf. While the primary responsibility for compliance efforts will remain in the individual units of the university, this position will work closely and collaboratively with each unit to build on existing compliance practices, such as: reporting; establishing standard policies and procedures; developing and implementing training; conducting assessments; and working with appropriate parties to take corrective actions as necessary.

The Compliance Program Director

The Compliance Program Director reports to the Vice President and General Counsel, Alexander Dreier. Mr. Dreier joined Yale in 2015 and is a former partner at Hogan Lovells in Washington, D.C., where he advised universities on key legal issues including research regulation, governance, international education, and risk management. The Compliance Program Director will promote a consistent and balanced approach to compliance and create a university-wide process of monitoring, evaluation, and enhancement. The Director will be charged with articulating the elements of the university’s compliance program and establishing standards for implementation across compliance functions and activities, and will propose ways to integrate compliance functions and activities in order to achieve efficiencies and reduce risk. The Director will partner with and provide strategic support for the Director of Enterprise Risk Management and the Director of Internal Audit and Quality Assurance, will serve on the standing Audit, Risk, and Compliance Committee (ARCC), and will be called upon to provide information to the Business Operations Leadership Team (BOLT), the Vice Presidents Council and the Yale Corporation.

This is an exciting and major opportunity for the new Compliance Program Director to:

  • Establish systems, practices, policies, and structures that build upon the existing decentralized compliance infrastructure to implement a uniform, risk-based compliance program for the university and to nurture and shape a compliance culture, consonant with the elements of an effective compliance and ethics program;
  • Identify new and overlooked compliance areas, monitor for changes to existing compliance requirements, and catalyze appropriate compliance measures;
  • Foster campus-wide awareness of compliance, guiding the community to a thoughtful middle ground between laxity and over-compliance, and providing the community with the tools and support to evaluate legal obligations, risk considerations, third party standards, and best practices;
  • Build partnerships with Enterprise Risk Management (ERM), Internal Audit (IA) and the Business Operations Leadership Team (BOLT) to strengthen compliance testing and tracking; disseminate training and communications; promote reporting of noncompliance adverse events; and improve the design and implementation of compliance programs;
  • Provide guidance to and coordinate existing compliance units into a formal network to facilitate resource-sharing, delivery of education, and identification of solutions to common problems;
  • Periodically reevaluate and refine systems for retaliation-free reporting;
  • Work with the Office of Federal and State Relations to provide input on proposed governmental compliance statutes and regulations;
  • Build and maintain relationships with professional organizations and peers at other institutions to provide input and feedback on program effectiveness, and to keep well informed about contemporary compliance related issues affecting higher education.

Qualifications

The successful candidate will be collaborative and persuasive with excellent strategic and communication skills, and will have demonstrated effective experience with large, complex organizations.

The Compliance Program Director will have the following credentials, experiences, capabilities, and attributes:

  • Master’s degree or equivalent advanced degree and six years of experience in structuring compliance programs. A Juris Doctor degree, experience leading compliance programs in higher education institutions or complex non-profit organizations, and Certified Compliance & Ethics Professional (CCEP) credential are preferred;
  • Demonstrated independent decision-making, problem solving, and planning skills;
  • Demonstrated ability to successfully communicate with constituents in both oral and written communications and strong attention to detail;
  • Knowledge of relevant regulations and expertise in compliance processes sufficient to assist organizations with their legal obligations;
  • Demonstrated ability to promote organizational integrity and ethics through the operation of effective compliance programs;
  • Excellent interpersonal skills and ability to build strong client relationships and work in concert with others to accomplish goals and objectives;
  • Superior service orientation, self initiative, and the ability to take charge and drive initiatives through to completion;
  • Experience in supporting governing boards and in working with committees or subgroups on matters of compliance;
  • Strategic, innovative, and visionary qualities;
  • Ability to work on a senior team as a listener, contributor, collaborator, mediator, and advocate interacting with all constituencies internal and external to a higher education research institution;
  • An appreciation for the mission, traditions, and culture of the university that embrace a commitment to fairness, equity, confidentiality, and unwavering ethical values;
  • All candidates for employment will be subject to pre-employment background screening for this position, which may include motor vehicle, DOT certification, drug testing and credit checks based on the position description and job requirements. All offers are contingent upon the successful completion of the background check.

Please send applications and nominations to the Brill Neumann team working on the search:

Elizabeth Neumann, Tom Phillips, and Amy Sugin
Brill Neumann Associates
Email: YaleCompliance@brillneumann.com

Yale University considers applicants for employment without regard to, and does not discriminate on the basis of, an individual’s sex, race, color, religion, age, disability, status as a veteran, or national or ethnic origin; nor does Yale discriminate on the basis of sexual orientation or gender identity or expression.

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