Penn State Job Catalog

Additional levels that exist for this job profile can be seen below.
Missing levels within the leveling matrix can be added based on business need.

The defined natural career progression within or between job profiles.

Compliance

The Compliance Specialist supports and advances the University's institutional compliance efforts by promoting adherence to applicable federal, state, and local laws, regulations, and University policies; is responsible for fostering a culture of ethics, integrity, and accountability across the University community; develops, implements, and monitors compliance initiatives; conducts audits and investigations; provides guidance and training; collaborates with stakeholders to ensure effective compliance practices are integrated into academic, administrative, and operational functions.

• Support the design, implementation, and continuous improvement of University compliance programs
• Ensure the University community, including trustees, executives, administrators, faculty, staff, and students are informed of and understand statutory, regulatory, and institutional ethics, culture, values, and standards of conduct requirements
• Serve as a subject-matter expert on compliance-related matters and provide consultation across departments
• Collaborate with internal stakeholders (e.g., Office of General Counsel, HR, Finance, Student Affairs, academic units, administrative units) to develop, revise, and implement compliance policies, procedures, and protocols
• Ensure policies align with applicable laws, regulations, and best practices in higher education compliance
• Plan and conduct annual, periodic, and targeted compliance audits across functional areas
• Monitor compliance activities and internal controls to identify risks, gaps, and areas for improvement
• Respond to compliance concerns, reports, and audit findings in a timely and effective manner
• Collect, analyze, and maintain documentation related to compliance requirements and incidents
• Conduct or support investigations into alleged non-compliance or misconduct
• Prepare reports of findings and present to appropriate stakeholders
• Develop and implement corrective action plans; monitor remediation efforts to ensure sustained compliance
• Stay current on evolving statutory and regulatory requirements impacting higher education; disseminate relevant updates and guidance to University stakeholders
• Translate complex regulatory requirements into clear, actionable guidance
• Assist in the development, delivery, and evaluation of compliance education and training programs
• Promote awareness of compliance obligations and ethical standards across the institution
• Track and report training participation to ensure required compliance education is completed
• Prepare University units for external audits, reviews, and regulatory inspections
• Conduct pre-audit assessments to identify compliance risks and gaps; provide guidance on corrective actions and documentation readiness
• Maintain accurate and complete records of compliance activities, including audits, investigations, training, and remediation efforts
• Generate reports, dashboards, and metrics to support compliance oversight and decision-making
• Provide guidance on embedding compliance and ethical practices into academic, administrative, and operational processes
• Promote a proactive, risk-aware culture aligned with institutional values
• May supervise staff, including recruitment, onboarding, training, performance management, and professional development

Level:

– Principal Professional

Base Description:

– Completes activities, tasks, and/or projects of a functional nature.

Level Summary:

– Displays mastery of defined skill areas/applications, principles, theories and practices. Evaluates and enhances existing practices. Recognizes emerging trends in area of expertise. Works independently on complex or strategic assignments. Directs and delegates appropriate tasks to others. Implements strategies to ensure achievement of initiatives. Prepares written and/or verbal presentations or proposals on complex issues and deliver to broad audiences. Identifies and implements innovative solutions to important, highly complex strategic and/or operational issues.

Supervisory Responsibilities:

– Indirect supervisor for other full–time employees
– May serve as direct supervisor for part–time, student, and/or temporary workers, volunteers, or a full–time employee

Fiscal Responsibilities:

– Validates and pays invoices
– Monitors and tracks budgets and funding
– May plan and forecast budgets

Problem Solving:

– Encounters complex and novel problems
– Applies policies, practices, specialized knowledge, and skills to resolve problems
– Understands benefits, limitations, and impact of potential solutions
– Anticipates potential problems and recommends possible solutions within general guidelines

Independence of Action:

– Works independently on complex or strategic assignments
– Uses existing practices as guidelines as well as working knowledge to determine specific work methods
– Carries out work activities independently, with supervisor available to resolve problems
– Reviews work of others to verify technical soundness

Communication and Collaboration:

– Communicates with both internal and external audiences
– Collaborates closely with team members and area leads across the University
– Prepares written and/or verbal presentations or proposals on complex issues and delivers to a broad variety of audiences
– Establishes and maintains networks to facilitate successful communication among units

• Comp Grade – 12
• Minimum – $76,700.00
• MidPoint – $95,900.00
• Maximum – $115,100.00

• Audit Management
• Audit planning
• Consulting
• Document management
• Investigation
• Needs Assessment
• Policy analysis
• Presentation Skills
• Regulatory compliance
• Report writing