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, Communication and Education 

  • 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 Library, 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.

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.