More About Compliance

UNK Compliance Structure

UNK’s compliance officer works closely with senior leadership and management, all of whom are guided by the premise that they are responsible for:

  • identifying, understanding, and complying with compliance requirements,
  • establishing/maintaining effective controls that provide reasonable assurance of compliance,
  • evaluating and monitoring compliance, and
  • taking corrective action when instances of noncompliance are identified.

Compliance Officer

The role of compliance officer is to coordinate and support UNK’s numerous existing compliance efforts, assess campus-wide performance, and provide senior leadership with a comprehensive view of the University’s compliance activities. The officer does not assume the duties of the various substantive compliance areas as compliance activities continue in existing reporting structures.

Compliance Committee

The Committee’s general charge is to be responsive to the Board of Regents Audit, Risk and Compliance Committee and its responsibilities. The Committee’s specific charge is to promote and support at UNK, a culture in which employees will operate in compliance with all applicable laws, regulations, policies and established standards of ethical conduct. Committee specifics, limitations, and membership.

Relationship to Enterprise Risk Management

The Compliance officer maintains a current compliance matrix and works closely with the Director of Internal Audit, also a member of the Compliance Committee, who annually facilitates an annual risk assessment. The risk assessment is the responsibility of management. The assessment is developed through the engagement of key campus leaders/managers. The final campus risk assessment is approved by the Chancellor and presented to the Regents.