Compliance Assessments

A compliance assessment evaluates and documents the current state of compliance oversight, management and related risks in a given university compliance area.

The University Compliance Department is responsible for performing a university-wide compliance risk assessment to identify high-risk compliance areas for consideration in the Annual Compliance Assessment Plan.

Assessments will help identify strengths and opportunities within a specific compliance area including oversight accountability, regulatory reporting requirements, compliance management, compliance risks, and key compliance gaps, along with laying the groundwork to develop a compliance plan to close gaps and escalate compliance concerns as appropriate.