University of California,
Chief Compliance and Audit
The University of California, Los Angeles (UCLA) invites
inquiries, nominations and applications for the position of Chief
Compliance and Audit Officer (CCAO). The Chief Compliance and Audit
Officer (CCAO) is responsible for ensuring that UCLA management, in
all functional areas, is accountable for maintaining compliance
with applicable laws, regulations and policies. The CCAO serves as
a principal advisor to the Chancellor and executive leadership on
ethics, compliance and audit matters.
The CCAO leads multiple compliance and audit functions that are
strategically and operationally essential to the governance of
UCLA. The CCAO promotes a culture of ethical behavior and provides
integrated leadership across compliance, ethics, audit, and risk
activities at UCLA. The CCAO reports to the Chancellor at UCLA and
to the Senior Vice President of Ethics, Compliance and Audit
Services at the UC Office of the President. The CCAO has
independent authority and autonomy necessary to objectively provide
a review and evaluation of compliance issues at UCLA.
Day-to-day administrative reporting is to the Strategic Advisor and
Chief of Staff to the Chancellor.
The CCAO leads the Office of Compliance and Audit and is
responsible for developing and maintaining comprehensive and
effective programs of compliance, and audit, which affect areas
including privacy, policy, records management, whistleblower
investigations and anti-retaliation functions. CCAO
responsibilities include the following activities:
- Advise the Chancellor and the UC Office of Ethics, Compliance
and Audit Services on the development, dissemination and
implementation of an appropriate compliance infrastructure with
performance metrics that are designed to detect and prevent
non-compliant or unethical conduct throughout the campus.
- Facilitate a compliance risk assessment process and develop an
annual compliance plan and annual compliance report for the
- Collaborate with campus partners to research and develop
recommendations on how to most effectively address
compliance-related issues of campus-wide applicability including
high risk compliance areas such as healthcare, sponsored research,
financial aid, intercollegiate athletics, cybersecurity,
admissions, and records retention among others.
- Provide functional integration and cooperation between campus
and healthcare compliance activities. Develop and direct an
integrated compliance program at UCLA with strategic guidance to
senior leadership on changing governmental and legal
- Coordinate with the UC Office of the President (UCOP) to ensure
that the ongoing UCLA efforts to promote an ethical culture align
with the UC mission.
- Coordinate ethics and compliance activities and initiatives
with the Chancellor, UCLA Health Office of Compliance Services, and
the SVP/Chief Compliance and Audit Officer.
- Act as the Locally Designated Official under the University’s
Whistleblower Policy and Whistleblower Protection Policy. Receive
reports and complaints submitted pursuant to policy and ensure
timely and appropriate response.
- Assess compliance readiness of various campus departments and
work collaboratively with operational leader to ensure that
compliance matters are promptly handled.
- Develop and manage the overall resourcing for the department;
develop and manage the annual operating budget, funding sources and
- Direct, counsel and provide guidance regarding federal and
state laws and regulations as they apply to campus practices.
Support implementation of policies and procedures to ensure that
these practices are in compliance with the appropriate regulations
and that regulatory reporting requirements are met.
- Develop and implement a cycle of oversight programs to ensure
that campus departments are in compliance with applicable
regulatory requirements and University policies.
- Provide direction in the formulation of strategic and
long-range plans for Compliance and Audit and Advisory Services,
which incorporate each department’s goals and objectives, oversee
implementation and monitor achievement.
- Collect and analyze data and develop metrics to measure the
effectiveness of the compliance and ethics program and initiatives
undertaken on behalf of the institution.
- Convene and lead a campus ethics and compliance risk committee
to provide program oversight and advise the SVP/Chief Compliance
and Audit Officer.
- Prepare written reports, resources, and education and training
materials on timely compliance topics and designs.
- Lead campus compliance risk communications and provide
direction on compliance-based training, in conjunction with Campus
Human Resources and UCOP.
- Serve as a central point of communication for compliance risk
owners across the institution, leveraging these individuals through
regular meetings of appropriate compliance oversight committees,
which the CCAO will chair.
- Effective interface and consultation with the Academic
- Oversee the internal audit function through the Director of
Audit & Advisory Services.
- Coordinate with units that oversee Administrative Policies and
Records Management functions to ensure that policy development,
implementation, dissemination and retention comply with UC
directives and appropriate federal and state regulations and
- Bachelor's degree in related area, over 8 years of related
experience, and/or equivalent experience or education.
- Commitment to the highest ethical and professional standards,
with the ability to serve as a standard bearer for UCLA.
- A philosophy of compliance which focuses on providing tools to
manage risk rather than on strict enforcement.
- Extensive knowledge of ethics and compliance theory, standards
- Demonstrated ability to direct a large internal audit program
with responsibility for campus, healthcare, investigation and
external relations functions.
- Knowledge of policy development, management, and retention
practices, including oversight of record management policies,
practices and systems.
- Demonstrated interpersonal and relationship building skills,
including negotiation and communication that are effective across a
wide variety of audiences.
- Demonstrated ability to work with management to identify and
mitigate key ethics, compliance and audit risks.
- Ability to design solutions to problems in a manner that builds
confidence, trust and consensus across constituents.
- Ability to work independently with limited oversight and within
a team environment.
- Skill at alignment of risk tolerance and mitigation to support
successful implementation of compliance initiatives.
- Excellent written and verbal skills to communicate in an
effective, clear and convincing manner.
- Extensive record of managing and leading a professional staff,
with an emphasis on developing the talents and expertise that allow
for expanded responsibility and ownership.
- Ability to manage multiple, concurrent priorities.
- Ability to dissect ambiguity.
- Advanced degree or equivalent certification (JD, CPA or
- Professional compliance certification.
- Experience in managing compliance and audit activities in a
large, complex and decentralized environment.
- Knowledge about privacy functions, including HIPAA, FERPA and
data protection in an open and transparent academic
Situated on 419 acres, five miles from the Pacific Ocean, UCLA
is enriched by the cultural diversity of the dynamic greater Los
Angeles area, as well as the geographic advantages of Southern
California. One of the world’s preeminent public research
universities, UCLA is an international leader in breadth and
quality of academic, research, health care, wellness, cultural,
continuing education and athletic programs, with nearly 4,800
faculty members who teach nearly 46,000 students in the UCLA
College and 12 professional schools. UCLA is consistently ranked
among the top institutions nationally for research funding, having
generated more than $1 billion in research grants and contracts
annually in eight of the past 10 years.
Confidential review of applications, nominations and expressions
of interest will begin immediately and will continue until an
appointment is made. To be ensured full consideration, please email
a letter of interest and curriculum vitae to UCLA’s Korn Ferry
consultants John Amer and Victoria Antolini at
UCLACCAO@kornferry.com by October 23, 2020.
The University of California is an Equal
Opportunity/Affirmative Action Employer advancing inclusive
excellence. All qualified applicants will receive consideration for
employment without regard to race, color, religion, sex, sexual
orientation, gender identity, national origin, disability, age,
protected veteran status, or other protected categories covered by
the UC nondiscrimination policy - https://policy.ucop.edu/doc/4000376/DiscHarassAffirmAction.