Associate Director of Compliance

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Under direction of the ASIC Associate Vice President and Institute Chief Compliance Officer, collaborate in the strategic development and implementation of a sustainable and effective Institute Compliance Program that encompasses both Campus and JPL. Stay abreast of leading compliance trends that may affect either Campus or JPL and recommend appropriate enhancements to the Institute Compliance Program, as necessary. Establish and maintain relationships with Institute management and personnel who have a significant role in the Institute's compliance efforts. Work closely and collaboratively with these individuals to build upon existing compliance practices. As a valued partner, integrate compliance skills and experience to assist with tasks such as enhancements to policies, procedures, and training; and communicating the merits of the Institute Compliance Program to Institute personnel.

• Oversees the progress of compliance efforts at Campus and JPL and determines when to engage management with the evaluation of compliance with applicable laws, regulations, and internal requirements.
• Directs, manages and reviews the work of ASIC compliance management and staff who report to the Associate Director to ensure adequate testing of key compliance controls with supporting documentation, and final work products meet ASIC departmental standards.
• Acts in a lead advisory capacity and provides strategic input on various elements of the Institute Compliance Program.
• Works directly with all levels of Institute management at Campus and JPL to research compliance issues, including Federal, State, or other complex compliance areas, and the implications to Campus and JPL.
• Lead and manage various working group projects across all areas of Campus and JPL, at times working in collaboration with Caltech's Office of General Counsel.
• Supports Enterprise Risk Management (ERM) Program activities, especially with compliance objectives and risk mitigation.
• Serves as coordinator for Caltech's Risk Management Council (RMC), advising on Campus risk management and related compliance processes.
• Monitors key compliance and governance activities at Campus and JPL and follows up to ensure timely implementation of corrective actions that result from various types of compliance assessments.
• Develops and oversees the preparation of complex documents and materials to support conclusions for compliance issues.
• Identifies and communicates opportunities to Institute management for enhancing compliance effectiveness.
• Works with Institute personnel to collect meaningful compliance metrics to evaluate the effectiveness of the Institute Compliance Program.
• Participates in annual risk assessments with Institute management to identify compliance risks associated with new laws and regulations.
• Promotes the Caltech Hotline, and if requested, investigates the validity of allegations received via the Hotline. Manages Hotline procedures, tracking logs, and metrics, ensuring collaboration with JPL Ethics Office for reporting.
• Assists with presentations and other materials to communicate the importance of the Institute Compliance Program to the Caltech community, including the Audit, Compliance, and Risk Committee of the Board of Trustees.
• Provides leadership and/or guidance to established working groups when collecting and evaluating information for compliance matters affecting the Institute.
• Monitors various publications and web resources for changing laws and regulations that affect the higher education and aerospace communities. Monitors compliance activities by various federal and state agencies and leads/participates in readiness reviews conducted at Campus and JPL.
• Disseminates information regarding changes in laws and regulations affecting possible areas of the Institute's operations to ASIC management.
• Continually seeks best practices in higher education and aerospace compliance operations to enhance the Institute's compliance functions.
• Performs other duties as assigned.

• Bachelor's Degree or equivalent.
• Must have a minimum of 10 years of relevant compliance experience
• Demonstrated knowledge and comprehensive understanding of emerging trends and regulatory requirements including but not limited to the Federal Sentencing Guidelines, Code of Federal Regulations, and California Code of Regulations.
• Proven track record for conducting risk assessments and developing compliance metrics and measurements, and holding individuals and departments accountable in a thoughtful manner encouraging support of the compliance process.
• Excellent interpersonal, written, and oral communication skills.
• Must have all necessary credentials to work at the Jet Propulsion Laboratory.

• 10 years of combined audit and compliance experience strongly preferred.
• Advanced degree, such as but not limited to a Master's Degree in Environmental and Occupational Health or MBA is preferred.
• Previous professional level experience within a complex higher education or research institution, aerospace environment, or a governmental agency or department is preferred.
• Certification, such as but not limited to CCEP, CIA, CPA, or CISA.

• Resume.