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Research Finance Training and Compliance Officer

Date: August, 2013
Reports to (Job Title): Research Finance Training and Compliance Manager
Jobs Reporting (Job Titles): None
Location: Main Campus
Grade:

USG 8 - 10

35 hr/wk


Primary Purpose

The key responsibility of the Research Finance Training and Compliance Officer is to provide oversight and management of the compliance and eligibility of research funds in relation to external sponsor guidelines and UW policies. Specifically, these responsibilities include the review of specific research transactions for compliance and eligibility, interpretation and analysis of sponsor guidelines including liaison with external sponsor agencies on interpretation issues, dissemination of regulatory changes to the research community, identification of areas of compliance weakness and related risk mitigation strategies, advice and support to the research community on compliance and eligibility issues, contribution to the improvement of research finance process flows, systems and reports, and development and execution of a range of research financial compliance training programs for staff and faculty. The Research Finance Training and Compliance Officer is also responsible for the maintenance of all financial compliance tools including the research signing authority database.

 

As a member of the Research Finance Training and Compliance Team the Research Finance Training and Compliance Officer has direct accountability to Research Finance and indirect accountability to the respective Faculty Executive Officer and/or Faculty Financial Officer for the oversight and management of the compliance and eligibility of research funds in a specific group of faculties.

Key Accountabilities:

1.  Development and delivery of training programs to research administrators and researchers on research financial compliance and eligibility issues

 

2.  Provision of advice and support to research administrators and researchers on research financial compliance and eligibility issues

 

3.  Utilization of judgment and experience to complete compliance and eligibility review of research transactions

 

4.  Contribute to the improvement of business processes, systems, reports and controls

 

 

5.  Maintain, develop and improve the various financial compliance tools that have been disseminated to the research community

Position Requirements

Education:

Experience:

Technical:

MS Word Excel PowerPoint Other
Intermediate Advanced Intermediate

Intermediate

Oracle, FORE, InfoEd, MS Access, Adobe, MS Outlook

Nature and Scope

Interpersonal Skills:

The Research Finance Training and Compliance Officer has the flexibility to work on a variety of initiatives, is solution oriented, is able to identify areas for process improvement, collaborates with others to bring opinions and comments forward, understands and interprets meaning/importance of information and communicates logically and professionally.

Level of Responsibility:

The Research Finance Training and Compliance Officer is responsible for ensuring that expenditures charged to research accounts are eligible, properly authorized and documented. Ineligible, unauthorized or insufficiently documented expenses could lead to a research sponsor discontinuing their financial support of research at UW (some research sponsors conduct audits to confirm UW’s adherence to guidelines). Additionally, ineligible, unauthorized or insufficiently documented expenses could result in unfavourable media attention or a damaged reputation.

 

This role has specialized work with minimal supervision and provides guidance and leadership to others about their area of expertise. The Research Finance Training and Compliance Officer partners with the Faculty Financial Officers, researchers, research administrators and other support units including Central Finance, Human Resources and Procurement and Contract Services.

 

Problem solving

The Research Finance Training and Compliance Officer solves problems related to their area of expertise. As required, recommendations are brought to the Research Finance Training and Compliance Manager for consultation and resolution. Critical thinking, analytical skills and the ability to interpret guidelines are key to the role.

 

Financial Accountability

Each Research Finance Training and Compliance Officer is responsible for ensuring compliance on a research portfolio of approximately $60 million annually. Ineligible, unauthorized or insufficiently documented expenses could have significant negative consequences to UW including discontinued financial support of research, unfavourable media attention or a damaged reputation.

 

Internal and External Contacts

Internal:

The Research Finance Training and Compliance Officer works most closely with staff and faculty members in the faculties and departments as well as colleagues within the Office of Research. They also work with other staff including those from Human Resources, Procurement and Contract Services, Central Finance and other support services across campus (e.g. Retail Services). Specifically, the role requires that the Research Finance Training and Compliance Officer asks clarifying questions, presents information (both formally and informally to large and small groups), and communicates decisions regarding the eligibility of expenditures.

 

 

External:

As required, the Research Finance Training and Compliance Officer works with contacts at research sponsors and with colleagues at other institutions. With contacts at research sponsors, the role requires the Research Finance Training and Compliance Officer to obtain, clarify and discuss information as well as to receive instructions and communicate feedback. The role provides the opportunity to collaborate and share best practices and experiences with colleagues at other institutions.

Decision-Making Authority:

The Research Finance Training and Compliance Officer makes regular decisions related to the documentation and eligibility of specific research expenses. As required, they make decisions about the appropriate means of following up with claimants or departmental staff when more information, clarification or documentation is needed. They also make decisions and recommendations related to training needs within the faculties and departments. The Research Finance Training and Compliance Officer must exercise sound judgment and consider the consequences of their decisions while exercising this judgment.

Physical and Sensory Demands:

This role requires exertion of physical or sensory effort resulting in slight fatigue, strain or risk of injury.

Working Environment:

This role involves minimal physical or psychological risk resulting from unavoidable exposure to hazardous, disagreeable or uncomfortable environmental conditions. The incumbent may be required to work from different offices on campus depending on the location of the assigned faculties or departments and the need to provide support to other members of the team.

  

The incumbent is expected to continually prioritize tasks and exercise a high degree of time management and multi-tasking skills due to the need to manage varying volumes of transactions, many of which may be time sensitive. As well, the Research Finance Training and Compliance Officer may experience last minute requests with short delivery deadlines (e.g., to meet payroll deadlines).