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University of British Columbia Institutional Programs Office

Manager, Research Compliance and Training

Canada-British Columbia-ALL


Job Description

Please note that applicants will only be considered who have applied on the UBC Staff Careers page (www.staffcareers.ubc.ca/26978). Please do not submit applications here or via email.

Job Summary

UBC Research Finance has a portfolio of >$400M in research funds consisting of >6,500 research project/grants (PGs) and >$150M in specific purpose funds consisting of >1,000 specific purpose PGs. The Manager, Research Compliance & Training plays a key role in the University's accountability mechanism in collaboration with faculties, departments and Principal Investigators (PIs).

The Manager, Research Compliance & Training is responsible for providing assessments of University compliance with sponsor guidelines and University policies to allow senior management to understand the level of risk and determine appropriate action. The objective of this position is to ensure strong internal controls, efficient and effective processes, and consistent implementation of guidelines across sponsored research and specific purpose funds at UBC.

This position is also responsible for the Research Finance training program to ensure active engagement of the research community, effective delivery and frequency of training sessions, and relevant  contents of training materials and sessions. The Manager maintains an active relationship in faculty and department finance staff to communicate important information in the management and control of research and specific purpose accounts.

This position delivers complex ad hoc reports for management to support decisions and for other units to assist in the achievement of specific goals.

Organizational Status
The Manager, Research Compliance & Training reports to the Portfolio Finance Director, VP Research & Innovation, and communicates directly with department heads, administrators, and Principal Investigators (PIs) regarding matters of research compliance and training. As responsibilities frequently involve access to confidential information, the incumbent must use tact and discretion in obtaining information and must use professional judgment in maintaining confidentiality.

The Manager is supported by one full-time staff member and responsibilities of the manager include hiring, training, evaluation, and staff performance management.
Work Performed
1. Reviews the inventory of university policies and finance guidelines related to the administration of sponsored research and specific purpose funds, and evaluates the efficiency, consistency, effectiveness, and completeness of these guidelines and controls. Considers research sponsor guidelines and makes recommendations to senior management regarding university policies to ensure that the university complies with sponsor financial requirements and with the terms and conditions of research contracts.

2. Oversees the development and maintenance of a central repository of guidelines for major research funding sponsors to be used as reference in research compliance auditing and training. Maintains an in-depth knowledge of sponsor guidelines and keeps up to date with revisions.

3. Develops and implements university-wide risk-based audit programs for research compliance including:
- planning the scope and objectives of compliance audit considering the level of risk for the university
- determining detailed audit procedures and techniques to be used to meet the objectives of the audit
- performing the audit in a professional manner and in accordance with the adequate standards of internal control and sound business practice
- evaluating the efficiency of systems and the effectiveness of operations as well as the adequacy of internal control
- obtaining and analyzing evidence as a basis for objective assessment in the audit report
- ensuring working paper files provide adequate documentation to support audit report
- making presentations of audit results to Sr. Manager Research Finance
- preparing draft audit reports detailing audit findings on research compliance, controls, efficiency, and effectiveness, and making practical recommendations for improvement
- discussing draft audit report with the auditee

4. Prepares summary reports to inform management on matters of research compliance including potential areas for concern, recommended actions, and level of support needed.

5. Performs research on best practices for research compliance and the integration existing guidelines and processes to ensure effective control and management of research financial transactions.

6. Develops and implements training programs that are complete and relevant at regular intervals for all members of the research community, including department administrators, finance officers, transaction processors, research project and laboratory managers, and Project Leaders (PLs). Leads effective training sessions with clarity, follows up on participant questions and concerns, and maintains statistics regarding attendance of participants from a variety of groups.

7. Develops and implements effective communication tools to announce agency or sponsor guidelines and updates to the university research community. Maintains a presence in faculty and department finance and other meetings as appropriate to communicate updates and address any concerns in sponsored research and specific purpose compliance.

8. Supports the relevant unit(s) in case of  agency or sponsor initiated audits and ensures that the implementation of remediation action plans as a result of agency or sponsor audits are completed properly and in a timely manner.

9. Oversees invoicing and collection of research accounts. Ensures proper monitoring of receivables to identify potential write offs at an early stage. Makes recommendations and carries out steps to ensure potential write off situations are resolved appropriately.

10. Prepares and analyzes complex ad hoc reports for management and for other units. Reviews reports prepared by staff to ensure accurate presentation and timely submission of information to management.

11. Works with Financial Reporting department to support their quarterly and year-end research variance analysis and deferred contribution manual adjustments. Ensures that processes regarding restricted funds are in compliance with accounting principles and university policies.

12. Participates in committees and task forces within the university as well as within external organizations (inter-university, with government bodies, etc.)related to effective controls of restricted funds.

13. Performs other duties as related to the position.
Supervision Received
Reports to the Portfolio Finance Director, VP Research & Innovation. Works with wide latitude. Work is reviewed in terms of
achievement of broad goals.
Supervision Given
This position supervises one Management and Professional staff member.
Consequence of Error/Judgement
Errors or incorrect audit work could result in the failure to detect or prevent University financial errors, inefficiencies, inadequate internal controls, or frauds. Audit report is provided to management and inaccurate audit information could result in errors in management decisions and University governance.
Undergraduate degree in a relevant discipline and Completion of an accredited Accounting program (CA, CGA or CMA).    A minimum of 7 years of experience or the equivalent combination of education and experience.  Audit experience including internal control reviews of different types of large and small business operations and the preparation of audit reports, evaluating internal controls and efficiencies. Knowledge of internal control frameworks and risk assessment methodologies.  Ability to communicate effectively verbally and in writing. Ability to be thorough, accurate, and have a high level of attention to detail. Ability to deal with sensitive and confidential issues using developed discretion and judgment, while maintaining independence and objectivity under all circumstances. Ability to analyze problems, identify key information and issues, and effectively resolve. Ability to bring a questioning attitude and constructive approach to problem solving. Ability to work well with others and to demonstrate respect, dignity and integrity in interpersonal relationships. Ability to clearly describe and explain complex financial guidelines and processes to a variety of groups. Ability to conduct effective audits. Ability to perform complex analyses. Ability to develop and implement policies and procedures.
Equity and diversity are essential to academic excellence.  An open and diverse community fosters the inclusion of voices that have been underrepresented or discouraged.  We encourage applications from members of groups that have been marginalized on any grounds enumerated under the B.C. Human Rights Code, including sex, sexual orientation, gender identity or expression, racialization, disability, political belief, religion, marital or family status, age, and/or status as a First Nation, Metis, Inuit, or Indigenous person. 

All qualified candidates are encouraged to apply; however Canadians and permanent residents will be given priority. 


Contact Information

University of British Columbia Institutional Programs Office
Posting Date: 13-Jul-2017Finance, Budget and Audit Permanent, Full-Time $72,811 - $113,768/yr 1 ASAP
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