Finance & Administration Compliance

The Compliance Office provides assistance and resources to departments within the Division of Finance and Administration, including:

  • Reviewing and providing guidance on separation of duties in departmental operations
  • Ensuring procedures are in place and current and that staff are aware of procedures
  • Assisting departments with developing and modifying procedures to ensure appropriate internal controls are in place
  • Working with the Office of Internal Audit to provide documentation and information needed to complete audits
  • Assisting departments in resolving issues noted by the Office of Internal Audit

The Compliance Office is part of the Second Line of Defense in the Institute of Internal Auditors (IIA) Three Lines of Defense Model.  As part of the Second Line of Defense, the Compliance Office 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 the Director of Compliance for Finance & Administration at dcourtway@uca.edu or (501) 852-0892.  We continuously strive to improve and welcome any feedback you may have.