Serving as a member of the Chief of Staff and General Counsel’s leadership team, the Deputy General Counsel and Chief Compliance Officer manages the UMS General Counsel’s office and is responsible for providing a wide range of legal advice and counsel to System and university clients involving human resources, administrative, regulatory and compliance issues, managing legal resources in a manner that supports the overall priorities of the universities as well as overseeing institutional compliance. The Deputy General Counsel and Chief Compliance Officer provides a proactive, highly strategic and collaborative approach to legal issues and develops solutions that balance ethical and prudent legal advice with effective risk assessment and that are responsive to external and internal needs in a complex public organization.
Essential Duties and Responsibilities:
Deputy General Counsel
Manage the Office of General Counsel, providing direct supervision of the attorneys (currently including a Senior Associate General Counsel and two Assistant General Counsels) and office staff in it, consistent with University System policies and procedures, and preparing and administering the office’s annual operating budget.
Provide professional and authoritative legal and policy advice relating to all university matters representing the university’s best interest at all times.
Interpret the constitutional, statutory and regulatory framework in which the University operates and provide legal and policy advice in a variety of areas affecting the University, including, but not limited to, employment law, student legal issues, intellectual property, real estate, contracts, organizational governance, affiliated entities, sponsored research, disabilities, drug-free workplace requirements, computer and information technology issues, copyright issues, defamation issues, civil rights, sexual harassment, fundraising and other areas related to an academic legal environment.
Manage outside counsel and litigation and agency complaints, and, in appropriate limited situations, prepare pleadings, briefs and other legal memoranda as needed to represent the University System in court proceedings and before administrative hearing bodies.
Serve as the clearinghouse for all requests for legal assistance from appropriate staff and administrators of the University and its campuses. Determine if requests for legal assistance shall be handled internally or referred to outside counsel and delegate appropriately. If referred to outside counsel, supervise and monitor such engagements.
Advise and recommend policy and procedure changes based on current or emerging case law and precedent and assist University and campuses in the development, preparation and review of related policies and procedures.
Assist in identifying and monitoring potential legal issues, provide guidance and develop solutions that reduce risk and result in a prudent legal position.
Maintain current knowledge of legal and technical developments in relation to University administration and higher education.
Chief Compliance Officer
Develop and oversee a compliance program including control systems to prevent or deal with violations of legal guidelines and internal policies.
Develop policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation.
Interact with regulators on compliance issues and follow up.
In collaboration with Human Resources, investigate and act on matters related to compliance.
In collaboration with Risk Management, develop, oversee and monitor, an annual compliance work plan that reflects the University’s unique characteristics.
Evaluate the efficiency of controls and improve them continuously. Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues.
Coordinate efforts related to audits, reviews, and examinations.
Define the necessary level of awareness on existing and emerging regulatory compliance requirements across the organization.
Provide strategic direction to the System leadership team on compliance by preparing and co-presenting clear and concise compliance reports.
Keep abreast of regulatory developments within or outside of the University as well as evolving best practices in compliance control.
Knowledge, Skills, and Abilities
Knowledge of shared governance processes in academic settings.
Experience in collaborative problem-solving.
Demonstrated impeccable analytical, interpersonal, written and oral communication.
Must possess high ethical standards, mature judgment and the capacity to foster constructive outcomes in a complex and changing environment involving a variety of stakeholders.
Demonstrated ability to:
Respond to, work on and manage multiple and diverse legal issues by being proactive and strategic resulting in effective and timely outcomes.
Identify, research and prepare legal or policy analysis on issues to obtain outcomes in the best interest of the University and its campuses.
Plan, supervise, implement and monitor effective strategies for reducing legal exposure by assessing the practical, policy and precedential consequences of decisions and advice.
Exercise independent judgment.
Experience managing a small legal office.
Knowledge of intellectual property and university research programs.
Experience representing entities with public governing boards.
Current knowledge of applicable state or federal laws, rules or regulations affecting higher education and the legal position of the University System and its campuses.
Knowledge of the statutory and constitutional framework in which a university operates, including federal and state regulations applicable to institutions of higher education.
Understanding of, and effectively implementing, the role of in-house counsel to a complex and large higher education institution, system, or complex public entity.
J.D. or LLB from an ABA-accredited law school required. License to practice in Maine or licensure within 1 year of beginning employment.
An outstanding record of achievement with at least eight years’ experience as a practicing attorney or in-house counsel in a similarly complex organization with multiple constituencies.
Experience in managing complex legal issues and serving as an effective member of a strategic leadership team.
Legal experience representing or working in-house for a large public university or university system, including working knowledge of the higher education legal environment and understanding of the dynamics and interests within a multi-campus university system.
Significant statewide business, risk management, and human resource litigation experience.
Additional Salary Information: 10% employer contribution to the UMS retirement plan. Additional benefits include medical, dental, vision, and tuition waiver programs for employees and dependents. The UMS is a recipient of the Wellness Councils of America’s Well Workplace Award and offers a wellness program.
About University of Maine System
Established in 1968, the University of Maine System (UMS) unites six distinctive public universities, comprising 10 campuses and numerous centers, in the common purpose of providing quality higher education while delivering on its traditional tripartite mission of teaching, research, and public service. A comprehensive public institution of higher education, UMS serves more than 30,000 students annually and is supported by the efforts of more than 2,000 full-time and part-time faculty, more than 3,000 regular full-time and part-time staff, and a complement of part-time temporary (adjunct) faculty. Reaching more than 500,000 people annually through educational and cultural offerings, the University of Maine System also benefits from more than two-thirds of its alumni population residing within the state; more than 123,000 individuals.The System consists of six universities: The University of Maine (UMaine), including its regional campus the University of Maine at Machias (UMM); the University of Maine at Augusta (UMA); the University of Maine at Farmington (UMF); the University of Maine at Fort Kent (UMFK), the University of Maine at Presque Isle (UMPI); and the University of Southe...rn Maine (USM). The System also includes the University of Maine School of Law and the University of Maine Graduate and Professional Center.
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