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Compliance and Risk Management Services

The Office of Compliance and Risk Management provides a range of services to the University community aligned with and implementing each of the five elements of the NYU Compliance Program, as described below:

Compliance and Risk Program Structure

  • Co-chair University-wide compliance committees: Compliance and Risk Officers Working Group; Schools Compliance and Risk Officers Task Force; and the Global Compliance and Risk Officers Task Force.
  • Coordinate identified risks and mitigation plans for reporting annually to the Audit and Compliance Committee of the NYU Board of Trustees and to senior leadership.
  • Communicate the concerns of the Audit and Compliance Committee and Senior Leadership to the compliance committees and substantive risk owners.
  • Gather and report on annual monitoring activities conducted by the various business and academic departments at NYU.

Training, Education and Communication 

  • Train on the Code of Ethical Conduct, and other specific topics such as conflicts of interest, export controls, University policies, and other compliance areas. 
  • Produce the Compliance Matters Newsletter
  • Informational and educational materials on the office website

Policies and Guidelines

  • Maintain the NYU Policies website, a repository of University policies located at www.nyu.edu/policies.
  • Develop and review selected University policies in collaboration with the Office of General Counsel and policy owners.
  • Assist in locating applicable policies.

Policies and Guidelines 

  • Maintain the NYU Policies website, a repository of University policies located at www.nyu.edu/policies.
  • Develop and review selected University policies in collaboration with the Office of General Counsel and policy owners.
  • Assist in locating applicable policies.

 

Annual and Periodic Monitoring

  • Maintain the Compliance Reporting Line, an avenue for reporting compliance concerns and complaints anonymously, and investigate complaints.
  • Monitor Conflict of Interest disclosures from Trustees, Officers, Key Employees and Administrators and conflict management plans.
  • Provide substantive expertise regarding Import and Export Compliance and screen parties for trade sanctions law compliance.
  • Monitor compliance with the Higher Education Opportunity Act.
  • Report on monitoring conducted by other departments.
  • Conduct inquires and investigations.

Risk Identification and Assessment

  • Advise the Audit and Compliance Committee of the NYU Board of Trustees, senior leadership, administrative units, Schools, faculty and staff on risk identification, assessment and mitigation and top risks for the University.

Annual and Periodic Monitoring

  • Monitor Conflict of Interest disclosures from Trustees, Officers, Key Employees and Administrators and conflict management plans.
  • Provide substantive expertise regarding Import and Export Compliance and screen parties for trade sanctions law compliance.
  • Maintain the Compliance and Risk Reporting Line and investigate complaints.
  • Monitor compliance with the Higher Education Opportunity Act.
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