The Compliance Office provides assistance and resources to departments within the Division of Finance and Administration, including:
- Reviewing and providing assistance with separation of duties in departmental operations
- Ensuring operating procedures are in place and current
- Working with departments to ensure compliance with new or updated regulations that may impact operations
- Assisting departments with developing and modifying procedures to ensure appropriate internal controls are in place
- Working with the Office of Internal Audit as necessary to provide documentation and information needed to complete audits
- Assisting departments in resolving issues noted by the Office of Internal Audit, external auditors, or regulatory agencies
The Compliance Office is part of the Second Line of Defense in the Institute of Internal Auditors Three Lines of Defense Model and therefore has risk management and oversight responsibilities while still being able to directly assist in the creation or modification of policies, procedures, and internal controls. Click here to find out more information about the role of each line of defense.
If you have any questions regarding our role in these or other areas, please contact us. We continuously strive to improve and welcome any feedback you may have.