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Compliance and Risk Management Services

The mission of the OCRM is to promote and support a working environment which reflects NYU’s commitment to the highest level of integrity and ethical standards.  To fulfill our mission, OCRM staff offers the University community a variety of services:

Compliance and Risk Management Consulting

OCRM staff offers consulting services to units, programs and Schools around the University in identifying and managing compliance risks, resolving concerns about the adequacy of internal system controls, compliance processes, and ethical issues.

Training and Presentations

OCRM staff offer presentations to units, programs and Schools on the University's Code of Ethical Conduct; identifying, assessing and managing compliance risks; creating compliance management programs; developing clear and comprehensive policies; and a variety of substantive compliance issues. We have provided formal and informal presentations to faculty, staff and student groups. For more information please contact the OCRM staff.

Compliance Guidance

 

The OCRM responds to individual questions and concerns about compliance issues. If you have questions regarding ethics, compliance or best business practices, or if you observe conduct at NYU that is inconsistent with these expectations, we encourage you to contact the OCRM directly, or through the NYU Compliance and Risk Reporting Line.

The Compliance and Risk Reporting Line is operated 24 hours a day, 7 days a week, by an outside vendor, whose trained staff will ask you questions and provide a report to the Office of Compliance and Risk Management. In addition to a toll-free number, questions and concerns may be reported via a web-based service. Individuals may chose to remain anonymous, but must provide sufficient information about the nature of the conduct that raised concern and the participants in that conduct, to enable a review to be undertaken.

Any employee of the University may submit a good faith complaint regarding compliance matters to the management of the University without dismissal or retaliation of any kind. All reports will be handled by the appropriate University officials as promptly and discreetly as possible.

Examples of matters that you may report are:

conflicts of interest;
financial and business integrity issues,
misuse of University property or assets,
issues related to government funded programs or projects,
or other compliance and risk matters.

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