Chief Compliance Officer - Office of Compliance

Position Summary

New York University Abu Dhabi (NYUAD) is partnering with Heidrick & Struggles to conduct this search. To ensure a confidential and equitable process, all application materials must be submitted directly through Heidrick & Struggles. Candidate information will be handled with the utmost discretion, and only those who apply via Heidrick & Struggles will be considered for this position. Please submit your application to cconyuad@heidrick.com.

Applications are welcome from all qualified candidates. In line with UAE regulations, Emirati candidates are encouraged to apply.

New York University Abu Dhabi (NYUAD) seeks to appoint a Chief Compliance Officer reporting to the Associate Vice Chancellor and Chief Counsel at NYUAD (Chief Counsel) and the Chief Global Compliance Officer at NYU in New York (the Chief GCO).

The Chief Compliance Officer is responsible for managing the NYUAD Compliance Program with oversight by the Chief Counsel and the Chief GCO. The NYUAD Compliance Program is aligned with the Global Compliance Program at New York University in New York City, New York, USA, (NYU), as established by the NYU Audit and Compliance Committee of the Board of Trustees, and is under the direction of the Chief GCO who reports to NYU’s Senior Vice President, General Counsel and University Secretary. The NYUAD Compliance Program generally consists of compliance risk management, compliance monitoring, providing updates on relevant and emerging compliance matters, and continuous improvement of the quality of compliance and policy lifecycle activities.

The Chief Compliance Officer works closely with persons at NYUAD and NYU who administer, legal, compliance and policy matters; financial matters; audits; risk management and insurance; human resources and labor matters; student affairs; research security, research compliance and research misconduct; export controls and trade compliance; anti-corruption; conflict of interest and conflict of commitment; data governance, privacy and protection; and information security. The Chief Compliance Officer helps support senior leadership and other NYUAD stakeholders to understand and comply with applicable laws and regulations and NYUAD and NYU policies with an approach that fosters a culture of self-compliance (honesty, integrity, transparency, accepting mistakes, sincerity and loyalty), leading to organizational compliance. The Chief Compliance Officer will prepare reports that will be submitted to the 3rd party compliance monitor and the NYU Board of Trustees and their various committees.

Key Responsibilities: 

Leadership of the NYUAD Office of Compliance

• Serve as focal point and trusted advisor for all NYUAD compliance activities
• Communicate regularly with the Chief Counsel and the Chief GCO on all compliance matters at NYUAD and any identified or emerging risks, compliance initiatives and concerns of NYU
• Direct the daily operations of the department, ensuring compliance with NYUAD, NYU global compliance policies and US and UAE laws
•  and regulations applicable to NYUAD
• Manage all the NYUAD Office of Compliance staff, including hiring, termination, performance management, training and professional development, work allocation, and problem resolution
• Participate and support the Compliance team’s participation in continuing education programs and professional growth and knowledge in relevant compliance, policy and risk management areas
• Define compliance accountability goals, objectives and defined targets and report periodically on the status of NYUAD compliance risks, mitigations and resolutions; compliance monitoring and training activities; and the degree to which compliance accountability goals, objectives and defined targets are achieved
• Regularly review the compliance program and recommend appropriate revisions and modifications
• Ensure that the internal controls are capable of preventing and detecting significant instances or patterns of illegal, unethical, or improper conduct by NYUAD community members, including suppliers
• Prepare and present periodic and annual reports on the compliance program
• Develop, maintain and manage transparent, credible and accountable relationships with NYUAD and NYU subject matter experts, including but not limited to, those in the NYU Global Compliance Office and in the NYUAD and NYU General Counsel offices, Provost offices, and Research offices, and the departments of Risk Management and Insurance, Human Resources, Finance, Procurement, Internal Audit, Campus/Public Safety, Environment, Health and Safety (EHS), IT, Social Responsibility, Development; Student Affairs; and the independent 3rd party compliance monitor
• Develop the Compliance Office’s budget, in collaboration with the Chief Counsel, the Chief GCO, and the Budget Office; manage the expenditure of funds on a quarterly basis to ensure alignment with defined fiscal targets; and coordinate with the Budget Office to provide justification for key variances from initial budget
• Act as the Compliance Business Continuity (BC) Owner and participate in BC relevant meetings. To ensure that the Compliance BC program activities are reviewed, completed and up to date and that all staff are aware of the departmental BC Plan. Also, act as a point of escalation for the Continuity of Operation

Driving a Compliance Culture, Innovation and the Use of Technology

• Advocate and implement senior leadership’s mission, vision, core values, and strategy for the future of NYUAD and its strategic innovations for long-term growth and sustainability
• Promote a compliance culture at NYUAD so that NYUAD employees are knowledgeable, with the necessary tools, to be empowered to be able to assess their own roles and work-related risks, mitigate them, and make informed decisions
• Foster effective relevant compliance-related communication using, for example, face-to-face discussions; a summary of key takeaways and talking points; a compliance manual; short mobile messages; videos, animated cartoon scripts, newsletters, and/or clippings; integration and harmonization with existing and evolving organizational structures
• Identify and, work with NYUAD IT or 3rd party suppliers to design and implement appropriate digital technologies, dashboards and other tools that (1) proactively integrate compliance into all NYUAD activities; (2) facilitate the collection and analysis of compliance-related data for leadership decision-making; (3) map regulatory and NYUAD and NYU policy requirements to organizational activities in order to verify the extent to which NYUAD is compliant with them; and (4) keep the Office of Compliance team members continuously up-to-date on US and UAE laws, regulations, rules, and standards that have impact on the NYUAD’s compliance requirements
• Identify opportunities at the early stages of NYUAD projects and initiatives for proactive organizational compliance 

Compliance Planning

• Develop an annual compliance plan, in coordination with the Chief Counsel, the Chief GCO, and various key stakeholders to align with organizational compliance strategy and priorities
• Scan the risk landscape and take preemptive steps to act accordingly on identified and emerging risks while at the same time, embrace some calculated risks, in consultation with the Chief Counsel, the Chief GCO, and key stakeholders, utilizing best practices for risk analyses (e.g., risk-based dashboarding)
• Revise existing compliance plans to incorporate any changes in laws and regulations, NYUAD and/or NYU policies, organizational compliance strategy and priorities, or any other reasons identified by NYUAD
• Comply with laws, regulations and policies without negatively affecting the NYUAD’s operations and assess potential solutions to ensure appropriate measures are in place to monitor compliance

Compliance Monitoring

• Conduct regular and periodic compliance monitoring activities in priority compliance risk areas, including without limitation, labor compliance, the Supplier Code of Conduct, research security, compliance, and misconduct; data protection, privacy and information security; export controls and trade law compliance, EHS compliance
• Lead discussions with the compliance and legal teams to ensure synergistic monitoring of the implementation of the compliance plans and compliance risk mitigation plans and are working together, effectively and efficiently, to accomplish annual accountability targets
• Conduct regular periodic compliance reviews, interviews, site visits, desk audits, and inspections to ensure suppliers that are doing business with NYUAD adhere to labor regulations and NYUAD’s policies and standards that are applicable to its suppliers and to the contractual requirements of the Supplier Code of Conduct and other compliance obligations under each of their contracts
• Evaluate compliance reviews and develop workable and effective solutions to counter any compliance issues identified, including recommending compliance risk mitigation and corrective action plans
• Ensure the Compliance team’s collaboration with the Procurement Department to ensure suppliers’ obligations to undertake and warrant compliance with the Supplier Code of Conduct and applicable labor, data protection, information security, export controls, anti-corruption, EHS, and business continuity laws, regulations and NYUAD policies are integrated into RFPs and contractual documents
• Collaborate with the Provost’s Office to mutually ensure faculty and researchers’ compliance with regulations and NYUAD and NYU’s policies, including without limitation, on research compliance, security (i.e., USA’s NSPM-33, foreign influence over research funding), and misconduct
• Develop and conduct risk assessments with NYUAD’s Enterprise Risk Management Department, in collaboration with NYU’s Enterprise Risk Management Department
• Identify and evaluate potential and emerging compliance issues, and ensure there are mitigation activities to reduce any risks and the impact on NYU’s/NYUAD’s reputation

Compliance Training

• Position NYUAD to assure that all NYUAD departments are implementing the NYUAD compliance program by providing leading practices and sound guidance, advice, and training to NYUAD community and training (e.g., compliance roadshows, clinics, workshops, a helpdesk, and online training modules) on relevant laws, rules, and regulations; and NYUAD policies, and compliance standards, including but not limited to, on conflicts of interest and conflicts of commitment, labor, data protection and privacy, potential foreign influence, protection of minors, and the Supplier Code of Conduct
• Train suppliers in NYUAD labor standards and contractual requirements at the RFP, pre- and post-award contract stages
• Work with NYUAD Research on regulatory research compliance issues to resolve them expeditiously and to preserve NYUAD’s reputation

Conducting Investigations

• In consultation with the Chief Counsel, and Chief GCO, oversee internal investigations of allegations of non-compliance and manage the communications with all involved parties until the matter is closed
• Direct the review, investigation of, and reporting on, complaints made to the University’s Anonymous Reporting Line (i.e., whistleblowing)
• Collaborate with NYU and NYUAD departments, as appropriate, based on the nature and ramifications of each complaint, including the NYUAD Office of General Counsel, Office of Equal Opportunity, Chief Human Resources Officer, Office of Internal Audit and Enterprise Risk Management, Chief Administrative and Business Office, and similar offices at NYU as well as the NYU Global Compliance Office
• Recommend appropriate actions that should be taken by NYUAD towards closure of each matter

Committee, Working Group and Task Force Participation

• Chair, convene and participate on various NYU and NYUAD committees, as designated by the Chief Counsel and the Chief GCO
• Provide compliance advice and policy guidance, including to the NYUAD Audit Committee the NYUAD Compliance and Risk Management Officers Working Group (“NYUAD Compliance and Risk Committee”), the Health and Safety Committee, the Procurement Committee, the Labor Compliance Working Group, the Faculty Advisory Committee on Labor and Social Responsibility (FACLSR)
• Participate in NYU compliance-related committees, as designated by the Chief Counsel and the Chief GCO, such as, the NYU Compliance and Risk Officers Working Group; the Global Compliance Officers Task Force; the Global Export Control and Trade Law Compliance Working Group

Ensuring appropriate alignment with NYU’s global compliance activities and programs

Performs various other University-related duties as assigned

The position is located in Abu Dhabi, UAE and will require periodic travel to NYU in New York City.

Qualifications

Required Education: 

• Master’s degree and/or Juris Doctor degree

Preferred Education: 

• Juris Doctor degree, CPA, CIA, CFE, and other compliance and risk certifications from accredited bodies

Required Experience: 

• Ten or more years of experience a complex regulatory, compliance; investigative, risk management; ethics; or related field
• Experience leading multiculturally diverse teams
• Experience leading complex programs in a highly regulated environment
• Experience in roles requiring strategic and critical thinking and decision-making
• Experience with developing organization-wide policies
• Experience working on sensitive and highly confidential matters
• Experience conducting investigations
• Demonstrated ability to be an agile facilitator and to build relationships with multiple constituencies
• Demonstrated capacity for flexible thinking with excellent analytical, negotiation, and problem-solving skills
• Demonstrated ability to keep abreast of the ever-changing regulatory landscape with an in-depth understanding of key applicable US and UAE legislation, international standards;
• Demonstrated ability to champion and promote the importance of complying with policies andregulations
• Ability to read, analyze and interpret complex regulatory or legal documents
• Ability to work with a large, diverse, multi-cultural constituents (including, senior leadership, staff, faculty, students, and contracted workers)
• Demonstrated understanding of higher education
• Highly proficient command of oral and written English
• Must have risk assessment and mitigation competencies, sufficiently are required to understand risks and the impact of non-compliance to an organization
• Must be a mature leader and team member with appropriate judgment to advance the compliance mission with the sufficient communication and influence to be viewed as credible
• Ability to manage a high volume of complex work in a fast -paced environment

Preferred Experience:

• Experience working in the Middle East
• Experience working in higher education
• Legal experience 
• Proficient knowledge of data protection laws and regulations 
• Experience working in a complex network of business units 

Additional Information

NYU Abu Dhabi is a degree-granting research university with a fully integrated liberal arts and science undergraduate program in the Arts, Sciences, Social Sciences, Humanities, and Engineering. NYU Abu Dhabi, NYU New York, and NYU Shanghai, form the backbone of NYU’s global network university, an interconnected network of portal campuses and academic centers across six continents that enable seamless international mobility of students and faculty in their pursuit of academic and scholarly activity. This global university represents a transformative shift in higher education, one in which the intellectual and creative endeavors of academia are shaped and examined through an international and multicultural perspective. As a major intellectual hub at the crossroads of the Arab world, NYUAD serves as a center for scholarly thought, advanced research, knowledge creation, and sharing, through its academic, research, and creative activities.