Chancellery Legal and Assurance Enterprise Risk Compliance Roles

Roles and Responsibilities

Compliance Management

Compliance management includes comprehensive, fully defined and fully accepted accountability for legislative obligations as they apply to relevant areas of the University. Designated individuals must fully accept accountability and have the appropriate skills and access to adequate resources. This will enable proper monitoring of compliance activities, highlight deficiencies and improve compliance status reporting to a range of stakeholders. Compliance management is addressed across a number of levels at JCU and includes:

The University Council is ultimately responsible for approving the Compliance Framework and Policy, and through Audit Committee oversees the adherence, monitoring and review of the University’s Compliance Framework.

The Audit Committee is responsible for reviewing and making recommendations to Council regarding the Compliance Policy.

The Vice Chancellor is responsible for leading a compliance culture across the University through promoting and supporting the Compliance Policy and Framework.

The University Executive is responsible for ensuring that appropriate resources, systems and processes are in place to implement the Compliance Framework across the organisation, and comply with legislative and regulatory requirements within their specific areas of operational responsibility.

The Chief of Staff has overall responsibility for the control and coordination of the Compliance Framework and for coordinating the implementation of the compliance process in all areas of the University with compliance responsibilities through Legal and Assurance.

The Risk and Compliance Officer supports the Chief Of Staff to oversee the requirements of the University’s Compliance Framework, including:

  • coordination and implementation of the compliance process across all areas of the University;
  • development and management of the Compliance Register; and
  • monitoring and review of Compliance Action Plans

Responsible Officers work closely with the Chief of Staff and have responsibility for:

  • providing guidance and support to all employees;
  • monitoring legislation, regulations and codes for any changes or new statutory requirements;
  • reporting non-compliance issues, whether systemic, recurring or one-off; and
  • ensure that legislative requirements are met within their Divisions.

Commitment must be demonstrated by managers by making themselves fully aware of the University’s legislative obligations within their area of accountability or span of control.

For a summary of compliance activities please refer to the table in Section 7 of Commitment to Compliance on the JCU intranet.