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

Compliance and Risk Program Structure

  • Co-chair University-wide compliance and risk management committees: Compliance and Risk Officers Working Group and the Schools 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 University-wide compliance and risk management committees and substantive risk owners.
  • Gather and report on annual compliance monitoring activities conducted by the various business and academic departments at NYU.
 

Training, Communication and Education

  • Provide training and awareness on the University’s Code of Ethical Conduct, and other policies, including, policies pertaining to conflicts of interest, export controls, anti-bribery and corruption and other compliance topics.
  • Respond to compliance questions
  • Produce the  Compliance Matters Newsletter
  • Provide informational and educational materials on the office website

 

Policies and Guidelines

  • Maintain the NYU Policies and Guidelines 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

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