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Compliance and Risk Management Program

What is Compliance?

Universities and members of the University community operate under many laws and regulations- international, federal, state, local and administrative- that may apply at an institutional level as well as at an individual level based on areas of responsibility and activities. These legal requirements are incorporated into University policies that apply to the University community as specified in the particular policy.

“Compliance” is the process of complying with applicable requirements. This process requires awareness and knowledge of the requirements, a determination that they are applicable and all necessary steps to ensure that they are being followed.


What is the Compliance and Risk Program?        

NYU’s Compliance and Risk Management Program is a nationally recognized program that addresses the University’s Compliance obligations by using a risk-based approach to assess and prioritize the University’s global compliance risks and to mitigate them through four essential means:

  • A University-wide Compliance Structure with oversight by the Audit and Compliance              Committee of the NYU Board of Trustees;
  • University Policies and Guidelines;
  • Training and Communication; and
  • Annual and periodic Monitoring.

Who is Responsible for Compliance?

Members of the University community are responsible for Compliance in the areas of their substantive responsibilities, including the following: Faculty, researchers and research administrators for compliance with research grants and awards, export compliance and other laws affecting the conduct of research and activities internationally; Administrators in Financial Operations & Treasury for compliance with applicable financial and tax requirements; the Office of Equal Opportunity for Compliance with Title IX.

While Compliance is the responsibility of those members of the University community with substantive responsibility for the regulated area, the Office of Compliance and Risk Management, led by Vice President and Chief Global Compliance Officer, Robert Roach, implements and manages the NYU Compliance and Risk Management Program.

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