Position Classification Description

Position Class Code / Title: A7136 / HSC Mgr,Compliance
Recruitment Tier: Tier 1
FLSA: Exempt
Grade: 15
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.


Under broad supervision, oversees the day-to-day operations of an enterprise-wide compliance and ethics program. Oversees the work of other staff engaged in conducting comprehensive investigations of complex and/or multiple anonymous claims, writing settlement agreements and preparing narrative reports. Implements and oversees programs based on prescribed metrics to ensure compliance with local, federal and state regulations. Provides guidance and expert interpretation to leadership on policy and procedures to minimize legal liability and/or mitigate regulatory fines and penalties. Serves as the University's representative and liaison to the community in the area of expertise.

Duties and Responsibilities

  1. Oversees the day-to-day activities of staff engaged in processing investigations of complex and/or multiple internal claims.
  2. Oversees the supervision of 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.
  3. Develops and prepares comprehensive investigative reports; compiles and maintains reports related to internal claims and inquiries and prepares monthly, quarterly, and annual investigative reports. Facilitates the processing and resolution of formal and informal claims. Files appropriate reports with regulatory agencies.
  4. Conducts periodic internal reviews or audits to ensure compliance with local, state, and federal regulations; analyzes, and submits required statistical reports regarding compliance activities.
  5. Provides training, advice and guidance to constituents on the interpretation and application of institutional policies, practices, and procedures related to local, state and federal regulations. Disseminates written policies and procedures related to compliance activities.
  6. Oversees the departmental operating budget; provides direct input and guidance throughout the budgeting process.
  7. Evaluates statistics and metrics to identify trends, existing and/or developing problems related to compliance; makes recommendations on corrective actions plans or programs designed to address identified problems.
  8. Manages projects that enhance the image of the institution; re-designs processes such as conflict of interest disclosure, reporting hotlines and/or acquisition of advanced security software technology.
  9. Ensures the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  10. Serves on various University committees on behalf of the office; recommends and participates in the development of University policies and procedures as they relate to compliance.
  11. 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 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.
  • 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.
  • Demonstrated 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: 03/20/2017