COMPLIANCE SERVICES OPERATIONS ASSOCIATE

Occupational Summary

The Office of Audit, Risk and Compliance (OARC) is a dynamic professional environment focused on providing assurance and compliance program services across Duke’s operating entities.  OARC guides and enables continuous improvement of the compliance culture and related compliance activities, including compliance maturity and the speak-up program. We collaborate with compliance programs across the university, to enable continuous improvement, increase compliance culture awareness, produce risk-based assurance, perform central coordination and oversight for fulfilling the federal standards for an effective compliance program.

OARC’s Compliance Services team administers a Speak Up program for reporting incidents across Duke University and Duke Health, receives and routes concerns, conducts investigations, administers multiple conflict of interest efforts across areas, supports policy administration, organization and stewardship and assists areas in assessing compliance.

Valuable attributes for the Operations Associate position include demonstrated professional judgment, project organization and management, careful listening skills, strong verbal and written communication, appropriate discretion, empathy and compassion, personal initiative, and the ability to maintain confidentiality.  

The Compliance Services Operations Associate reports to the Compliance Services Associate Director and contributes to the following functions: administrative conflicts of interest, compliance case management, policy administration and navigational guidance. Responsibilities include operating the conflict of interest process, compliance case triage and tracking, managing timely responses to stakeholder concern and guidance requests, providing policy software support, training and guidance.

Work performed includes:

Conflict of Interest 30% - Execute the annual administrative, clinical, board and support organization dual interests’ disclosure process including sending out disclosure requests, facilitating disclosure collection and reminders, and monitoring disclosures to completion. Provide initial review for potential conflicts where external role priorities compete with Duke's interests. Route items to Associate Director for additional review and prepare periodic update meetings with team. Ability to pull quarterly data summary on dual interest activity for institutional reporting.

Compliance Case Management 25% - Serve as the initial intake for all external compliance issues and requests. Input cases received through helpline, email, or direct call into the case management system. Monitor case status from intake to completion and maintain metrics on timeliness, institutional division, and case type. Generate system reports for board, leadership and functional areas as needed. Follow up with reporters confirming receipt of concern and to collect additional information. Work with Associate Director on case status and incident routing/review.

Compliance Assessments and support 20% - Launch and create system assessments, monitor progress, report to stakeholders on progress. Run SAP or compliance system reports as needed for assessment process and monitor progress to completion of assessments. Provide user support as needed and create/format system reports.

Policy Navigator/Policy Administration 15% - Maintain and update OARC policies within software platform. Serve as a navigational resource for Duke stakeholders seeking guidance on institutional written standards. Respond to verbal or electronic requests to locate and provide guidance when stakeholders need assistance. Coordinate the development, revision, deletion, review and approval for Duke's written standards for areas utilizing the software tool. Develop and maintain strong working relationships with policy system users.

Debarment screening and other 10% - Review debarment screening potential matches weekly or bi-weekly. Manage process to review, investigate and disposition matches. Coordinate with HR and vendor to obtain and submit updated records twice yearly.

Minimum Education and Training

Bachelor's degree required; major with business or writing focus preferred. Conflict of interest processes, organizational policy creation, workflows, and version control knowledge desired. Previous training in compliance management software or another multi-module software platform a plus.

Minimum Experience

Minimum five years in administrative or related field or advanced degree. Experience in designing and administering processes geared toward meeting a customer service objectives and key performance indicators. Duke organizational knowledge a plus. Facile with MS Office (MS Word, PowerPoint and Excel).

Job Skills

Work requires the ability to plan and direct projects and program activities within a specific functional area, communications, analytical and organizational skills. Strong collaboration and customer service skills with the ability to assess and apply a continuous improvement approach. Ability to communicate complex topics effectively, demonstrated experience in both verbal and written communications. Discretion when handling sensitive information.

The above statements describe the general nature and level of work being performed by individuals assigned to this classification. This is not intended to be an exhaustive list of all responsibilities and duties required of personnel so classified. The intent of this job description is to provide a representative and level of the types of duties and responsibilities that will be required of positions given this title and shall not be construed as a declaration of the total of the specific duties and responsibilities of any particular position. Employees may be directed to perform job-related tasks other than those specifically presented in this description.