Position Classification Description

Position Class Code / Title: A7126 / Mgr,Compliance
Recruitment Tier: Tier 1
FLSA: Exempt
Grade: 14
HR Review/Approval:COMP

This is a description of a Staff Position Classification. It is not an announcement of a position opening. To view descriptions of current openings, please go to UNMJobs and Search Postings to view positions that are currently accepting applications.

The following statements are intended to describe, in broad terms, the general functions and responsibility levels characteristic of positions assigned to this classification. They should not be viewed as an exhaustive list of the specific duties and prerequisites applicable to individual positions that have been so classified.


Oversees the day-to-day operations of a compliance and/or ethics program/unit. Conducts comprehensive investigations of complex and/or multiple claims, writes settlement agreements and prepares narrative reports, and implements and monitors programs to ensure compliance with federal and state regulations. Develops and provides training. Oversees and guides the work of other staff engaged in similar work. Provides well-researched advice and consultation to university leadership to keep them informed of important issues and to help manage the university's exposure to legal, regulatory and other liability.

Duties and Responsibilities

  1. Supervises personnel, which includes work allocation, training, promotion and enforcement of internal procedures and controls, and problem resolution; evaluates performance and makes recommendations for personnel actions; motivates employees to achieve peak productivity and performance.
  2. Oversees professional staff in processing investigations of complex and/or multiple internal claims.
  3. Monitors and audits compliance related activities to ensure compliance with local, state, and federal regulations.
  4. Provides advice and guidance to students, staff, and faculty on the interpretation and application of institutional policies, practices, and procedures related compliance.
  5. Oversees the development of programs and training activities related to specific compliance topics; presents training sessions to faculty, staff, and students as requested.
  6. Develops and prepares comprehensive investigative reports; compiles and maintains reports related to internal claims and inquiries and prepares annual report of internal complaints based on information; monitors compliance audits for external agency claims.
  7. May oversee the departmental operating budget; provides direct input and guidance throughout the development of the FCSO budgeting process.
  8. Analyzes and submits required statistical reports regarding compliance activities as appropriate.
  9. Assists with the evaluation of statistics to identify existing and developing problems related to compliance policies and other regulatory requirements; assists with the development and delivery of various programs designed to address identified problems.
  10. Researches and assists with the development of programs designed to enhance the image of the institution; develops and assists with re-designing processes that better support university constituents, strategic goals, and objectives.
  11. Develops and implements policies and procedures to comply with federal, state and local laws.
  12. Ensures the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  13. Serves on various university committees on behalf of the office; recommends and participates in the development of university policies and procedures related to compliance.
  14. Serves as Campus Security Authority as outlined by the Clery Act.
  15. Performs miscellaneous job-related duties as assigned.

Minimum Job Requirements

  • Bachelor's degree; at least 5 years of experience directly related to the duties and responsibilities specified.
  • Completed degree(s) from an accredited institution that are above the minimum education requirement may be substituted for experience on a year for year basis.

Knowledge, Skills and Abilities Required

  • Strong interpersonal and communication skills and the ability to work effectively with a wide range of constituencies in a diverse community.
  • Ability to foster a cooperative work environment.
  • Knowledge of current and emerging compliance legislation, issues, and trends.
  • Advanced analytical, evaluative, and objective critical thinking skills and the ability to effectively summarize and present information.
  • Knowledge of federal, state, and institutional policies and practices specific to the applicable compliance specialty.
  • Project planning skills.
  • Ability to gather data, compile information, and prepare reports.
  • Ability to use independent judgment and to manage and impart confidential information.
  • Ability to develop and present educational programs and/or workshops.
  • Skill in examining and re-engineering operations and procedures, formulating policy, and developing and implementing new strategies and procedures.
  • Ability to provide technical advice and information to faculty and staff in area of expertise.
  • Ability to supervise and train assigned staff including organizing, prioritizing, and scheduling work assignments.
  • Ability to investigate and analyze claims information and to draw conclusions.
  • Knowledge of finance, accounting, budgeting and cost control procedures.
  • Knowledge of computerized human resources and payroll systems.
  • Employee development and performance management skills.
  • Ability to develop and implement new strategies and procedures.
  • Ability to provide effective and appropriate advice and expertise to all levels within the university community.
  • Skill in the use personal computers and related software applications
  • Skill in organizing resources and establishing priorities.

Working Conditions and Physical Effort

  • No or very limited exposure to physical risk.
  • No or very limited physical effort required.
  • Work is normally performed in a typical interior/office work environment.

The University of New Mexico provides all training required by OSHA to ensure employee safety.

Revised Date: 06/10/2018