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Compliance, Audit & Advisory Services


The Compliance Office helps the university promote a culture of honest and ethical behavior as well as to identify and manage risk.  The Office’s responsibilities include coordinating, encouraging and monitoring the operational compliance activities that occur throughout the University and advising senior administration and the Board of Trustees on the effectiveness of the University’s compliance efforts.  The Compliance Office works with operational compliance owners to strategically build and improve their compliance programs and ensure they are responsive to evolving regulatory environments. The Compliance Office also manages the University’s EthicsPoint hotline and coordinates the University’s development and review of policies. 


The responsibilities of the Audit Office include planning and conducting audits of the University’s financial, operational and compliance activities. The purpose of the audits is to provide independent, objective assurance designed to add value to and improve the operations of Northwestern.  Through its systematic, disciplined approach to evaluate and improve the effectiveness of internal controls, risk management and governance processes, the Audit Office helps Northwestern accomplish its objectives.  The Audit Office also provides advisory services, on request, to the University community.