Compliance Specialist - Subcontracts Management

Department: Office Sponsored Research
Salary/Grade: EXS/6

Founded in 1851, Northwestern University is committed to excellent teaching, innovative research, and the personal and intellectual growth of its students in a diverse academic community. Northwestern uniquely combines the assets of several different types of academic institution - the power of a major research university, the creative energy of arts and music conservatories, the intimacy of a liberal arts college, the rich diversity of an international institution, exceptional professional schools, and the excitement of a Big Ten athletic program. The University combines innovative teaching and pioneering research in a highly collaborative environment that transcends academic boundaries.

Northwestern is committed to creating a vibrant ecosystem for discovery, into which it hires exceptional faculty and staff and attracts great students. This ecosystem, inhabited with this pioneering spirit, tradition of innovation, and culture of bold, collaborative discovery, has solidified its place among the nation's leading private research universities: its annual sponsored research awards surpassed $886 million in FY 2020.

The Compliance Specialist will be a confident administrative professional who has strong service orientation and provides operational, compliance and administrative support to the subcontracting function for compliance with university policy and federal regulations on subrecipient risk assessment and related activity.

The Compliance Specialist - Subcontracts Management will support the OR mission and values of understanding empathy, modeling accountability, ensuring fairness, embracing community, and valuing creativity.

Job Summary:

As a professional staff member of Northwestern University Sponsored Research (SR), the Compliance Specialist is an integral part of the institutional infrastructure that supports innovative research for ten schools, colleges, Centers and Offices across three campuses (Chicago and Evanston, Illinois and Doha, Qatar) at a distinguished AAU institution.

Reporting to the Director Sponsored Research Subcontracts Management, the Compliance Specialist will provide operational, compliance and administrative support for the subcontracting function and process in SR to support compliance with university policy and federal regulations as they relate to 2 CFR Part 200.332(b), particularly the conduct of subrecipient risk assessment, critical analysis of assessment data elements, and rationale-based recommendations for risk level and subrecipient monitoring.

As part of Northwestern University's commitment to creating an inclusive and diverse campus community, Northwestern Sponsored Research is committed to being BRAVE (Battling Racism and Valuing Equity). Through deliberate words and actions, we actively endeavor to acknowledge the humanity and value of each of our colleagues.

The Compliance Specialist will support the Office for Research mission and values by exhibiting the following: understand empathy, model accountability, ensure fairness, embrace community, and value creativity. The incumbent will strive to provide excellent service when performing job responsibilities.

Specific Responsibilities:

Sponsored Research Operations

Compliance:

• Subrecipient Risk Assessment: Initiates and executes subrecipient risk assessment using information gathered from subcontract request forms, subrecipient financial questionnaire, federal websites (Sam.gov, FDP expanded clearinghouse and FCOI clearinghouse, Federal Audit Clearinghouse (FAC), USAspending.gov, etc.) and other resources. Communicates with ASRSP to obtain subrecipient risk assessment related information such as management decision letters, audit, and good standing verification.
• Reviews, assesses, and verifies compliance requirements and status of subrecipient risk assessment data elements, including but not limited to, debarment/suspension or other exclusion, COI, audit, protection of research subjects and associated federal wide assurances and approvals,
• Performs critical analysis of subrecipent risk assessment data elements and makes rationale-based recommendation for assignment of risk level and monitoring activity.
• Maintains and updates subrecipient risk assessment resources such as risk assessment repositories and related risk assessment forms, templates, and questionnaires.
• Identify, recommend, and develops implementation plans for new and revised policies and procedures related to subrecipient risk assessment.
• Ensures compliance and fiscal integrity of subrecipient risk assessment.
• Assists with internal and external audit requests by identifying the appropriate subrecipient risk assessment and/or other subcontract related documentation, under direction of Director for Sponsored Research Subcontracts Management.

Performance metrics monitoring

• Uses system generated reports to routinely review activity queues for subrecipient risk assessment related subaward agreement statuses to identify and prevent inefficiencies in transaction processing and assist Sponsored Research in meeting target performance metrics.
• Conducts follow-up as needed with relevant parties (department research administrators, external subcontractor contacts, other Northwestern office contacts) to ensure timely submission of compliance related data elements of the subrecipient risk assessment to support SR ability to issue and execute subcontracts.
• Uses system generated team reports for follow up on partially executed subcontracts.

Outreach.

• Stays informed of and applies relevant changes in the sponsored research landscape, such as sponsor requirements, compliance requirements, regulatory requirements, and best practices, particularly as they relate to subrecipient risk assessment, through involvement in professional networks and training opportunities.
• Represents the office as needed in various university forums in subrecipient risk assessment related matters.
• Consistently participates in initiatives to improve subrecipient risk assessment and efficiencies without compromising quality and compliance.

Other:

• Reviews and executes rebudgeting for subcontract budget line items in the university financial system.
• Research and resolve issues as needed and/or assigned.

Miscellaneous

Performs other duties as assigned.

Minimum Qualifications:

• Bachelor's degree or combination of education, training and experience from which comparable skills can be acquired in business, financial, or administration.

Minimum Competencies: (Skills, knowledge, and abilities.)

• Excellent math, analytical, and customer service skills.
• Experience in interpreting policies and procedures.
• Experience with and use of electronic systems and tools.
• Ability to conduct critical analysis of information.
• Ability to participate in and support continuous improvement and change through individual and team contributions.
• Computer proficiency - software use may include Microsoft Office suite, PowerPoint, Word, Excel, and Access, web browsers and web-based tools, email and enterprise systems
• Communication - oral and written proficiency, communicates effectively one-to-one, in small groups and in public speaking contexts; concise emails, letters and proposals while using appropriate vocabulary and grammar.
• Strong customer service orientation.
• Meets deadlines - displays consistency and success in adhering to procedures and deadlines.

Preferred Qualifications:

• Entry level of knowledge of Federal regulations related to research administration, including Uniform Guidance and RTC terms and conditions

Target hiring range for this position will be between $58,000-$65,000 per year. Offered salary will be determined by the applicant's education, experience, knowledge, skills and abilities, as well as internal equity and alignment with market data

Benefits:
At Northwestern, we are proud to provide meaningful, competitive, high-quality health care plans, retirement benefits, tuition discounts and more! Visit us at https://www.northwestern.edu/hr/benefits/index.html to learn more.

Work-Life and Wellness:
Northwestern offers comprehensive programs and services to help you and your family navigate life's challenges and opportunities, and adopt and maintain healthy lifestyles.
We support flexible work arrangements where possible and programs to help you locate and pay for quality, affordable childcare and senior/adult care. Visit us at https://www.northwestern.edu/hr/benefits/work-life/index.html to learn more.

Professional Growth & Development:
Northwestern supports employee career development in all circumstances whether your workspace is on campus or at home. If you're interested in developing your professional potential or continuing your formal education, we offer a variety of tools and resources. Visit us at https://www.northwestern.edu/hr/learning/index.html to learn more.

Northwestern strongly recommends COVID-19 vaccinations and boosters for people who can obtain them as a critical tool for minimizing severe illness. More information can be found on the COVID-19 and Campus Updates webpage.

The Northwestern campus sits on the traditional homelands of the people of the Council of Three Fires, the Ojibwe, Potawatomi, and Odawa as well as the Menominee, Miami and Ho-Chunk nations. We acknowledge and honor the original people of the land upon which Northwestern University stands, and the Native people who remain on this land today.

Northwestern University is an Equal Opportunity, Affirmative Action Employer of all protected classes, including veterans and individuals with disabilities. Women, racial and ethnic minorities, individuals with disabilities, and veterans are encouraged to apply. Click for information on EEO is the Law.

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