Caltech
Associate Vice President of Audit Service & Institute Compliance, Chief Complian
Caltech, Pasadena, California, United States, 91122
Associate Vice President of Audit Service & Institute Compliance, Chief Compliance Officer
5 days ago Be among the first 25 applicants
Caltech is a world-renowned science and engineering institute that marshals some of the world's brightest minds and most innovative tools to address fundamental scientific questions. We thrive on finding and cultivating talented people who are passionate about what they do. Join us and be a part of the diverse Caltech community.
Job Summary
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
Facilitation of Caltech’s Enterprise Risk Management Program
The AVP also serves as the Institute’s Chief Compliance Officer, advising senior leadership and ensuring compliance across campus and the Jet Propulsion Laboratory (JPL). Essential Job Duties
Lead Caltech’s internal audit and institute compliance team to provide best‑in‑class services, encourage innovative methods, and maintain high standards of accuracy and consistency in the application of policies and procedures.
Serve as a trusted partner across the Campus and JPL, advising on internal compliance plans and coordinating the interpretation and compliance with laws, regulations, and contract provisions.
Develop an annual risk‑based audit plan and an audit universe covering all campus and JPL entities; collaborate with campus and JPL executive leadership to complete the audit and compliance planning process.
Integrate audit and compliance functions, plan and implement communication strategies for the annual plan, and ensure trustees and senior management are informed of key activities.
Schedule and arrange timing of internal audits and compliance assessments per the approved plan.
Prepare periodic reports, including an annual report with narratives for trustees and senior management, highlighting outcomes, corrective actions, and recommendations.
Facilitate the Institute Enterprise Risk Management (ERM) Program by organizing the ERM Executive Steering Committee and scheduling board level presentations of specific risks.
Interact effectively with the Office of General Counsel, seeking advice on contract interpretation or potential legal action; assist in developing and implementing compliant policies and procedures, training programs, and a compliance hotline.
Oversee special reviews and investigations, ensure effective training for all personnel, and support shared responsibility for audit relations between Campus and JPL management and ASIC.
Assist departmental personnel in interactions with external auditors and audit agencies, minimally interacting to facilitate their work.
Basic Qualifications
Bachelor’s degree in a finance-related discipline, compliance or an MBA / master’s in accounting.
Minimum ten (10) years of experience overseeing audit and compliance functions, with demonstrated leadership.
Expert problem‑solver, inspiring confidence and trust, developing creative solutions.
Excellent interpersonal skills, able to interact with a wide variety of Caltech personnel with tact and diplomacy.
Deep familiarity with laws, regulations, circulars, policies and procedures affecting institutional relationships, including OMB Uniform Guidance, DCAA, JPL NASA management offices, GAO and inspectors general.
Demonstrated effective and inspired leadership with a record of accomplishment and commendation by superiors, peers, and subordinates.
Ability to provide regular operational analyses, tracking movement toward specific objectives and providing executive assessment of activity.
Strong communication skills, both oral and written, including preparation of materials for large audiences such as the Audit, Compliance, and Risk Committee.
Successful completion of a pre‑employment background investigation and eligibility for a security clearance.
Preferred Qualifications
Experience working in academia, preferably in a complex research institution.
Required Documents
Resume
Cover Letter
Hiring Range
$340,000 – $360,000 per year
Our benefits package includes competitive compensation, health, dental, and vision insurance, retirement savings plans, generous paid time off, tuition reimbursement, and more.
EEO Statement
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, sexual orientation, gender identity, or national origin, disability status, protected veteran status, or any other characteristic protected by law. Caltech is a VEVRAA Federal Contractor.
Disability Accommodations
Caltech complies with the Fair Employment and Housing Act (FEHA) and the Americans with Disabilities Act (ADA). Please contact Caltech Recruiting at
recruiting@caltech.edu
to request accommodation for the application process.
#J-18808-Ljbffr
Caltech is a world-renowned science and engineering institute that marshals some of the world's brightest minds and most innovative tools to address fundamental scientific questions. We thrive on finding and cultivating talented people who are passionate about what they do. Join us and be a part of the diverse Caltech community.
Job Summary
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
Facilitation of Caltech’s Enterprise Risk Management Program
The AVP also serves as the Institute’s Chief Compliance Officer, advising senior leadership and ensuring compliance across campus and the Jet Propulsion Laboratory (JPL). Essential Job Duties
Lead Caltech’s internal audit and institute compliance team to provide best‑in‑class services, encourage innovative methods, and maintain high standards of accuracy and consistency in the application of policies and procedures.
Serve as a trusted partner across the Campus and JPL, advising on internal compliance plans and coordinating the interpretation and compliance with laws, regulations, and contract provisions.
Develop an annual risk‑based audit plan and an audit universe covering all campus and JPL entities; collaborate with campus and JPL executive leadership to complete the audit and compliance planning process.
Integrate audit and compliance functions, plan and implement communication strategies for the annual plan, and ensure trustees and senior management are informed of key activities.
Schedule and arrange timing of internal audits and compliance assessments per the approved plan.
Prepare periodic reports, including an annual report with narratives for trustees and senior management, highlighting outcomes, corrective actions, and recommendations.
Facilitate the Institute Enterprise Risk Management (ERM) Program by organizing the ERM Executive Steering Committee and scheduling board level presentations of specific risks.
Interact effectively with the Office of General Counsel, seeking advice on contract interpretation or potential legal action; assist in developing and implementing compliant policies and procedures, training programs, and a compliance hotline.
Oversee special reviews and investigations, ensure effective training for all personnel, and support shared responsibility for audit relations between Campus and JPL management and ASIC.
Assist departmental personnel in interactions with external auditors and audit agencies, minimally interacting to facilitate their work.
Basic Qualifications
Bachelor’s degree in a finance-related discipline, compliance or an MBA / master’s in accounting.
Minimum ten (10) years of experience overseeing audit and compliance functions, with demonstrated leadership.
Expert problem‑solver, inspiring confidence and trust, developing creative solutions.
Excellent interpersonal skills, able to interact with a wide variety of Caltech personnel with tact and diplomacy.
Deep familiarity with laws, regulations, circulars, policies and procedures affecting institutional relationships, including OMB Uniform Guidance, DCAA, JPL NASA management offices, GAO and inspectors general.
Demonstrated effective and inspired leadership with a record of accomplishment and commendation by superiors, peers, and subordinates.
Ability to provide regular operational analyses, tracking movement toward specific objectives and providing executive assessment of activity.
Strong communication skills, both oral and written, including preparation of materials for large audiences such as the Audit, Compliance, and Risk Committee.
Successful completion of a pre‑employment background investigation and eligibility for a security clearance.
Preferred Qualifications
Experience working in academia, preferably in a complex research institution.
Required Documents
Resume
Cover Letter
Hiring Range
$340,000 – $360,000 per year
Our benefits package includes competitive compensation, health, dental, and vision insurance, retirement savings plans, generous paid time off, tuition reimbursement, and more.
EEO Statement
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, sexual orientation, gender identity, or national origin, disability status, protected veteran status, or any other characteristic protected by law. Caltech is a VEVRAA Federal Contractor.
Disability Accommodations
Caltech complies with the Fair Employment and Housing Act (FEHA) and the Americans with Disabilities Act (ADA). Please contact Caltech Recruiting at
recruiting@caltech.edu
to request accommodation for the application process.
#J-18808-Ljbffr