About the Compliance Services Office

Core Responsibilities

  • Maintaining an institution-wide compliance program committed to meeting WVSOM’s legal and ethical obligations more efficiently and effectively through a compliance framework for communicating about and tackling compliance. The framework includes six components:
    1. Clarifying obligations
    2. Establishing priorities
    3. Assist with developing appropriate procedures
    4. Provide training
    5. Report and investigate concerns
    6. Monitor and correct course
  • Assisting with new policies and updates to existing policies and monitor policy changes to coincide with laws and regulations.
  • Maintaining a compliance responsibilities matrix and inventory of compliance obligations which includes identifying responsible individuals and departments charged with meeting compliance obligations. The matrix establishes institutional ownership of compliance responsibility and obligations in a transparent way.

Ongoing Activities and Projects

  • Working closely with the Office of General Counsel and other offices to monitor ongoing efforts and determine resources needed to manage existing, changing, and new compliance obligations
  • Implementing procedures for identifying areas of compliance vulnerability, assist in managing and mitigating risks, and documenting processes

Assistance Offered

Working with compliance partners across WVSOM to clarify obligations; coordinating compliance activities; supporting training and other educational efforts; investigating compliance concerns and identifying, assessing, and mitigating risks.

  • Risk assessments: Discussion with key stakeholders to identify potential compliance gaps of concern and assess the risks presented by those gaps.
  • After action reviews: Structured review or de-brief process to assess a recent incident, focusing on identifying what went well and what could be improved in responding to a similar incident in the future.
  • Evaluations of “lessons learned”: Sharing across departments to mitigate future incidents.

We encourage you to reach out to report any compliance concerns or to discuss any questions related to compliance obligations.