Office of Ethics and Compliance Mission

The Office of Ethics and Compliance (OEC) mission is to assist New York University, as an international center of scholarship, teaching, and research, in carrying out its academic mission with integrity and in accordance with the University’s legal, regulatory and ethical responsibilities.

OEC is responsible for the following:

  • Promoting communication, coordination, and collaboration regarding compliance and risk management throughout the University;
  • Conducting compliance and ethics training and awareness;
  • Managing the University’s Policies and Guidelines repository;
  • Coordinating the activities of the University’s various compliance committees that have responsibility for compliance, including, the Compliance Officers Working Group and the Schools Compliance Officers Taskforce;
  • Providing the University Compliance and Risk Steering Committee with a comprehensive view of the University’s compliance activities;
  • Reporting to the Audit and Compliance Committee of the Board of Trustees on global compliance program activities;
  • Coordinating the activities of the University’s administrative and academic units that have the primary responsibility for compliance;
  • Advising the University’s administrative and academic units on compliance matters;
  •  Managing the NYU Compliance and Risk Reporting Line platform; 
  • Reviewing and responding to questions, complaints, and other issues reported to OEC directly or via the   NYU Compliance and Risk Reporting Line, including, anonymous reports; 
  • Conducting ongoing compliance reviews and investigations;
  • Conducting ongoing compliance monitoring in targeted areas, including, conflicts of interest, export controls and trade sanctions compliance, University-wide compliance training, policies, and other areas, as appropriate;
  • Working with University’s administrative and academic units and identified Risk Owners to ensure that identified compliance deficiencies are corrected;   
  • Conducting annual and semiannual institutional compliance risk assessments in conjunction with the Office of Internal Audit and Enterprise Risk Management (IAERM);
  • Proactively monitoring compliance risks and mitigation activities implemented by Risk Owners;
  • Providing the University Compliance and Risk Steering Committee and the Audit and Compliance Committee of the Board of Trustees with a comprehensive view of the University’s institutional compliance risks in coordination with IAERM; and 
  • Collaborating with the University’s Compliance Officers in reporting on compliance and risk management activities to the University Compliance and Risk Steering Committee and the Audit and Compliance Committee of the Board of Trustees.

Please visit our Compliance and Risk Services webpage to find out how we can help you, or contact us at nyucompliance@nyu.edu. For questions related to university policies, please visit our Policies and Guidelines webpage or contact us at policies@nyu.edu.

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