Associate Vice President of Audit Service & Institute Compliance, Chief Compliance Officer

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The Associate Vice President (AVP) of Audit Services and Institute Compliance (ASIC) & Chief Compliance Officer is responsible for the leadership of ASIC, which provides the following key activities: Institute Compliance Program which addresses a broad range of regulations and statutes, internal audits, and advisory projects. The AVP also facilitates Caltech's Enterprise Risk Management Program. Serving as advisor and counselor to all levels of personnel in the Institute community, this is a key, senior management position within Caltech. The AVP also serves as the Institute's Chief Compliance Officer. The AVP reports to the Audit, Compliance, and Risk Committee of the Board of Trustees and to the President, and administratively to the Vice President and Chief Operating Officer.

This is a Campus Critical position. An employee designated as campus critical is expected to be aware of the campus emergency management plan and to report to Campus as soon as possible in the event of an emergency to assist in campus wide response and recovery efforts.

• Lead Caltech's internal audit and institute compliance team to provide best-in-class audit and compliance services. Encourage development and application of innovative and creative methods to take maximum advantage of available skills and attributes as well as modern technology, all conforming to professional standards required by the International Institute of Internal Auditors. Establish standards for maintaining a high-level of administrative accuracy and consistency in the application of policies and processes for audit and institute compliance, relationships with all auditors, and compliance with applicable statutes, circulars, policies, procedures, and regulations. Allocate resources among these functions to match available skills and abilities with tasks and challenges that present themselves. Creatively align and realign personnel to meet changing needs.
• Be a trusted partner across the Campus and JPL in advising and establishing internal compliance plans. Assist divisions and departments throughout Caltech by coordinating the interpretation of and compliance with the laws, regulations, and contract provisions that affect their work.
• Develop an annual risk-based audit plan, supported by an "Audit Universe" (organizational entities and functional units that comprise Campus and the Jet Propulsion Laboratory), and the development and application of risk criteria used to assess the Audit Universe. The AVP works collaboratively with executive and senior management at Campus and JPL, including but not limited to the President, Vice President and Chief Operating Officer, Provost and Vice-Provosts, General Counsel, JPL Director, and JPL Deputy Director, to gather input and complete the annual audit and compliance planning process.
• Integrate Caltech's audit and compliance functions and obtain support from executive and senior management and the Trustee members of the Board's Audit, Compliance, and Risk Committee (ACRC). Plan and implement a communication strategy regarding the annual plan that includes Trustee oversight and approval as well as executive and senior management sponsorship. Assure that divisional and departmental staff members are aware of the annual plan and activities that impact their areas.
• Schedule and arrange timing of internal audits and compliance assessments per approved plan or as requested or deemed necessary.
• Prepare periodic reports, including an annual report and the accompanying narrative, that provides the ACRC Trustees and Executive and Senior Management a comprehensive snapshot of audit and compliance activities that were achieved. The AVP should also provide an overview of specific outcomes and corrective actions to be taken by management, and the time frame for action to be implemented. Take the initiative to report any disagreements regarding significant risks or control weaknesses to executive management and the ACRC and engage their assistance in resolution.
• Facilitate the Institute Enterprise Risk Management (ERM) Program. The AVP organizes the Institute's ERM Executive Steering Committee. The Committee, comprised of Campus and JPL leaders, is charged with the oversight of Caltech's ERM function and ensuring areas of compliance risk are effectively and expeditiously assessed and reported on. The AVP also schedules Board level presentations of specific risks.
• Interact effectively with Caltech's Office of General Counsel (OGC), seeking advice and counsel on matters that require contract interpretation or issues that will or may result in legal action.
  • Help develop and implement compliant policies and procedures; ensure the development of compliance manuals and training programs to distribute compliance responsibilities more broadly among Campus and JPL managers.
  • Administer Caltech's Compliance Hotline, including tracking concerns and reporting summary information as part of annual ACRC reporting.
  • Oversee special reviews and investigations, as requested or needed, typically by OGC or Human Resources.
  • Assure that effective training is provided in all the areas for which the AVP is responsible. That includes not only members of the AVP's audit and institute compliance units, but also supervisors and managers who use and apply Institute policies and procedures.
  • Support the implemented model that creates a shared responsibility for audit relations between Campus and JPL management and the ASIC office.
• As needed, assist Caltech's departmental personnel in their interactions with external auditors and audit agencies. Minimally interact with external auditors and reviewers to facilitate their work.

• A minimum of a baccalaureate degree in a finance-related discipline, compliance or other appropriately related discipline or an MBA or master's degree in accounting is required.
• A minimum of ten years of experience in specifically relevant areas, including responsibility for oversight of audit and compliance functions is required.
• Must be an expert problem-solver, able to inspire confidence and trust among parties in a dispute, and to develop creative approaches and solutions to result in effective resolution of most differences.
• Must possess excellent interpersonal skills, not only to be an effective leader, but also because the AVP is called upon to interact frequently with a wide variety of Caltech personnel with tact and diplomacy.
• Must be quite familiar with, if not an expert in, various laws, regulations, circulars, policies, procedures, and processes that influence an organization's relationship with organizations with which it does business. These include OMB Uniform Guidance; the DCAA contract audit manuals and operating procedures of the various JPL contracting offices; the JPL NASA management offices; the GAO and the various inspectors general. The ability to remain current as to applicable laws and regulations is also a required attribute.
• Must have demonstrated an ability to provide effective and inspired leadership as demonstrated by a clear record of accomplishment and commendation by superiors, peers, and subordinates.
• While a key mark of success in this position will be customer feedback, it is also important to develop and provide regular, periodic operational analyses, both to track movement toward specific objectives, and to provide upper-level management with an executive assessment of activity.
• The AVP must be able to communicate effectively, both orally and in writing. Regarding the former, that includes not only one-on-one and small group interaction, but also the ability to prepare material and present it to large audiences, including the Audit, Compliance, and Risk Committee of the Board of Trustees. Regarding the latter, the AVP should be able to create original written material ranging from audit reports to persuasive arguments for implementation of new policies.
• The selected candidate must pass a pre-employment background investigation and be eligible to obtain a security clearance to be hired for this position.

• Experience working in academia, preferably in a complex research institution, is preferred.

• Resume.
• Cover Letter.