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EXECUTIVE COMPLIANCE & RISK OFFICER

University of Washington
Seattle, WA Full-time
Posted on August 22, 2019
Req #: 166954
Department: COMPLIANCE & RISK SERVICES
Job Location: Other Location
Job Location Detail: Roosevelt Commons (U District) 
Posting Date: 07/01/2019 
Closing Info: Open Until Filled 
Salary:

Salary and benefits are competitive. Salary is commensurate with qualifications and experience. 

Shift: First Shift 

As a UW employee, you have a unique opportunity to change lives on our campuses, in our state and around the world. UW employees offer their boundless energy, creative problem solving skills and dedication to build stronger minds and a healthier world.

UW faculty and staff also enjoy outstanding benefits, professional growth opportunities and unique resources in an environment noted for diversity, intellectual excitement, artistic pursuits and natural beauty. All of which has allowed the UW to be nationally recognized as a “Great College to Work For” for five consecutive years. 

Compliance and Risk Services (CRS) is composed of the Compliance Services and Risk Services units. CRS is responsible for the development and implementation of policies and procedures to ensure excellence in the University's efforts to comply with its institutional regulatory obligations. Using a shared services model, CRS provides substantive advice and guidance for specific laws and regulations, and structural support for the University’s collaborative efforts in the major University-wide areas of safety, employment/civil rights, financial, research and information compliance (hereafter “major areas of compliance”).

Compliance Services uses a shared services model and works in concert with the other University compliance organizations and the University Division of the State Attorney General’s Office to provide substantive expertise and guidance regarding laws and regulations, including coordination of institution-wide compliance with Title IX, the Americans with Disabilities Act, and related laws and regulations. Compliance Services provides structural support for the University’s collaborative efforts in the major University-wide areas of safety, employment/civil rights, financial, research and information compliance (hereafter “major areas of compliance". Compliance Services includes University Complaint Investigation and Resolution Office (UCIRO), which investigates and resolves complaints of discrimination, harassment and retaliation.

Risk Services protects the assets of the University through risk financing, risk consulting, and claim and litigation management strategies and activities, including the use of enterprise risk management tools. Risk Services identifies and mitigates risks through institutional risk financing including a diverse insurance portfolio, captive insurance company, external re-insurance program, risk consulting, in-house multi-line claim and litigation management (including complex medical professional liability, employment practices liability, auto and general liability claims), and management of a state-fund insured workers compensation program.

Together, these units provide the compliance and risk management services and strategic vision needed to support the University in accomplishing its mission with integrity and through informed decision-making.

The Executive Compliance and Risk Officer is responsible for providing both strategic and operational leadership and working across all levels of the University of Washington (UW) to support a culture of service to the UW mission. We have an outstanding opportunity for an Executive Compliance & Risk Officer to serve as the Executive Office’s advisor and subject matter expert on University-wide compliance and risk issues and provides actionable recommendations to leadership regarding compliance and risk mitigation priorities for the University.

In Compliance Services and for the major areas of compliance, the Executive Compliance and Risk Officer is responsible for developing and implementing policies, procedures and processes through which the University can satisfy its obligations under the Federal Sentencing Guidelines, which are: existence of appropriate and effective compliance committees; development and maintenance of University-wide compliance policies; delivery of effective compliance education and training; monitoring of compliance metrics; reporting on and investigating complaints; ensuring the existence of appropriate systems for enforcement, discipline and incentives; and ensuring effective systems for non-compliance response and prevention. He/she coordinates such efforts throughout the University, recommends specific mitigation action or policy changes, and oversees the implementation of such mitigation actions. The Executive Compliance and Risk Officer oversees the implementation of such mitigation actions, communicates results and makes recommendations to leadership regarding University priorities.

In Risk Services, the Chief Compliance and Risk Officer oversees the selection and implementation of appropriate risk financing techniques to protect the University from accidental loss, risk consulting activities to reduce the likelihood and impact of loss, tort claim and litigation management, and enterprise risk management activities. The Executive Compliance and Risk Officer is the President of “Portage Bay Insurance”, the University’s Captive Insurance Program and manages its governance, operations, finances and regulatory compliance.

The Executive Compliance and Risk Officer reports to the President. He/she prepares quarterly reports to an appropriate committee of the Board of Regents and periodic recommendations to the President and Provost. He/she convenes and staffs a Compliance Steering Committee, a Compliance Working Committee and subject matter experts in the major areas of compliance. This position has significant responsibility for reducing non-compliance risk in all University academic and administrative units.

Duties and Responsibilities:

Compliance Services


In collaboration with the leaders of the major areas of compliance, assess the adequacy of University policies, procedures and practices to comply with applicable state and federal laws, rules and regulations, and to meet the compliance-related requirements of accrediting bodies, rating agencies and grantors.

Prepare and prioritize recommendations to the leadership to mitigate compliance risks. Provide project management, process improvement, systems development and other support to units implementing approved mitigation proposals.

Prepare quarterly reports to the President and appropriate committee of the Board of Regents on the University’s preparedness in the major areas of compliance. With the leaders of the major areas of compliance, create and monitor metrics on the effectiveness of compliance activities.

Ensure the adequacy of programs to effectively train faculty, staff and students in their compliance responsibilities.

Ensure the adequacy of complaint reporting mechanisms. Track active investigations and report investigative findings, recommendations, and case status to the President, appropriate committee of the Board of Regents, the Compliance Steering Committee and other appropriate entities and individuals.

Ensure that investigative information is properly referred to appropriate University offices as well as to proper investigative, governmental, and prosecutorial  authorities. Recommend the use of and oversee the work of independent investigators in appropriate matters.

Oversee and advocate in support of strategic priorities for Compliance Services programs and activities.

Risk Services

Plan, organize, direct and manage all University-wide risk management activities including the development and implementation of self-insurance, purchased insurance and risk avoidance programs for the protection of the University from unanticipated losses. Manage the selection and use of insurance brokers, actuaries, auditors and other risk-related service providers.

Periodically assess the efficiency and effectiveness of self-insurance programs versus commercial insurance and the performance of the University’s risk cost allocation system versus stated goals.

Manage the use of enterprise risk management tools to inform University leadership on existing and emerging risk exposures as they relate to institutional strategies. Adapt risk strategies in response to changing markets, regulatory environments and University  needs.

Serve as President of Portage Bay Insurance and manage its governance, operations, finances and regulatory compliance.

General Duties

Prepare and implement strategies to optimize the University’s performance in compliance and risk management and communicate the outcomes of those strategies.
Oversee the management of funds, staff and other resources.

Requirements include:

  • Master's Degree in Business Management, Public Administration, Education, or closely related field
  • Minimum of ten years of demonstrated leadership in compliance, risk management, or audit (experience in multiple areas preferred)
  • Experience managing a sophisticated risk financing portfolio which includes medical professional liability
  • Thorough knowledge of key applicable federal, state and local laws and regulations, ability to read and interpret complex regulatory or legal documents and ability to communicate technical and complex concepts
  • Ability engage diverse community in a collaborative and deliverables-driven system to meet institutional compliance goals
  • Ability to apply principles of logical thinking to a wide range of intellectual and practical problems
  • Ability to communicate through effective and persuasive speeches and presentations
  • Ability to work as a leader and as a member of a team and excellent interpersonal skills

    Equivalent education/experience will substitute for all minimum qualifications except when there are legal requirements, such as a license/certification/registration.


    Desired:

  • Juris Doctor (JD), LLM or equivalent degree or legal designation and training, with experience or  specialty in employment, civil rights, higher education or healthcare
  • Professional experience within academic & research institution of higher education, large company or government agency
  • CCEP or equivalent compliance certification
  • Experience managing a single parent captive insurance company and associated reinsurance programs
  • Associate in Risk Management (ARM), CPCU or equivalent risk management or insurance certification
  • Combination of equivalent experience may not substitute for degree requirement.

    As a UW employee, you will enjoy generous benefits and work/life programs. For a complete description of our benefits for this position, please visit our website, click here.

    Application Process:
    The application process for UW positions may include completion of a variety of online assessments to obtain additional information that will be used in the evaluation process.  These may include Work Authorization, Cover Letter and/or others.  Any assessments that you need to complete will appear on your screen as soon as you select “Apply to this position”. Once you begin an assessment, it must be completed at that time; if you do not complete the assessment, you will be prompted to do so the next time you access your “My Jobs” page. If you select to take it later, it will appear on your "My Jobs" page to take when you are ready. Please note that your application will not be reviewed, and you will not be considered for this position until all required assessments have been completed.
  • Committed to attracting and retaining a diverse staff, the University of Washington will honor your experiences, perspectives and unique identity. Together, our community strives to create and maintain working and learning environments that are inclusive, equitable and welcoming.

    The University of Washington is a leader in environmental stewardship & sustainability, and committed to becoming climate neutral.

    The University of Washington is an equal opportunity, affirmative action employer. To request disability accommodation in the application process, contact the Disability Services Office at 206-543-6450 / 206-543-6452 (tty) or dso@uw.edu.