The ChiefAudit and Compliance Officer is a position created by state statute (TCA49-14-102) and serves as an officer of the Board of Trustees. The duties aregoverned, in part, by the Bylaws of the University of Tennessee Board ofTrustees. This position serves as the chief audit executive, leading internal audit,and as the chief compliance officer, leading the System's Office ofInstitutional Compliance and the UT System Title IX function.
TheOffice of Audit and Compliance is comprised of two functions: internal auditand compliance. Two divisions operate within internal audit: audit andinformation technology and security assessment, and two divisions operatewithin compliance: institutional compliance and Title IX. The internalaudit function provides the University of Tennessee System with objective,independent appraisals of control processes, risk management, and governance asa service to the UT Board and all levels of management. Institutional compliancereinforces the University's commitment to meeting the highest standards ofethics, integrity, and responsibility, providing independent oversight of theUniversity's compliance programs to assure that the University is compliantwith all federal, state, and local laws and regulations as well as Universitypolicies.
This position reportsdirectly to the Chair of the Audit and Compliance Committee of the Board ofTrustees and administratively to the Chief Financial Officer of the University.This position serves as the staff liaison to the Audit and Compliance Committee,organizes the Committee meetings, and meets regularly with Committee members tokeep them apprised of audit, compliance, and risk issues. This position also worksdirectly with the president, chancellors and other senior executives to provideadvice and to stay informed of strategic, governance, and risk issues.
This positionperforms highly varied administrative duties involving the use of independentjudgment and professional skills to assist the Audit and Compliance Committeeof the Board of Trustees, executive management, and other units of theUniversity of Tennessee System in identifying, avoiding, and mitigating risks.The incumbent leads the Office of Audit and Compliance and its 23-member auditand compliance staff to accomplish the department's strategic plan and mission.The mission of the systemwide office is to assist the University in achievingits mission by providing objective and independent evaluations to reduce riskand improve operations. The department includes professional staff located atthe Knoxville, Chattanooga, Memphis, and Martin campuses.
Duties and Responsibilities:
The Chief Audit and Compliance Officer
plans,directs, and monitors the internal audit function of the University ofTennessee system in compliance with applicable policies, laws, and auditingstandards. These responsibilities include developing and executing a comprehensiveaudit plan each year, using an appropriate risk-based methodology, to beconducted in accordance with applicable professional auditing standards. Theposition is also responsible for establishing a quality assurance andimprovement program to ensure compliance, consistency, and quality in theinternal audit function's operations.
leads the systemwide compliance program inaccordance with the Federal Sentencing Guidelines by directing the Office ofInstitutional Compliance, promoting an ethical environment, promoting andmanaging the University's Code of Conduct; facilitating campus compliancecommittees, and managing the UT Compliance Hotline.
serves as liaison to the Audit and ComplianceCommittee of the University of Tennessee Board of Trustees, organizing threeofficial committee meetings each year, meeting regularly with members to keepthem apprised of audit and compliance issues, providing them copies of allinternal audit reports, providing updates on compliance issues, andperiodically providing information to the committee on the status and resultsof the audit plan and the sufficiency of departmental resources.
meets regularly with staff of the StateComptroller's Office (State Audit and the Investigative Units) and otherexternal parties as a representative of the University; coordinates activitieswith other internal and external control, risk, and monitoring functions (e.g.,UT General Counsel, State Audit, law enforcement, state and federal governmentofficials); participates in the UT President's staff meetings, represents theinternal audit and compliance functions on various standing and ad hocUniversity committees, and meets frequently with various groups of key administratorsto inform and advise.
oversees the coordination of the SystemwideTitle IX function by working with the System Title IX Coordinator and GeneralCounsel, as well as with the campus Title IX Coordinators, and highlighting keyrisks to System administrators and the Audit and Compliance Committee.
The position is responsible for alladministrative and leadership functions for the Office of Audit and Compliance,including hiring, supervision, and other personnel decisions; managing thedepartmental budget and resources effectively and efficiently; maintaining aprofessional audit, compliance, and Title IX staff with sufficient knowledge,skills, experience, and professional certifications to meet the requirements ofthe UT Internal Audit Charter and other internal and external directives; andoverseeing departmental strategic planning.
Internal Number: 166208
About University Administration
Our primary mission is to move forward the frontiers of human knowledge and enrich and elevate the citizens of the state of Tennessee, the nation, and the world. As the preeminent research-based, land-grant university in the state, UT embodies the spirit of excellence in teaching, research, scholarship, creative activity, outreach, and engagement attained by the nation’s finest public research institutions.