Website Santa Clara University

Director, Operations and Compliance


Position Title:
Director, Operations and Compliance

Position Type:

Hiring Range:

$83,500-$112,900 commensurate with experience

Pay Frequency:

The Director, Operations and Compliance reports to the Senior Manager, Information Systems and Data. This is a full time, full year position. This position oversees, and directs activities in support of the delivery of high-quality customer service and financial aid strategies within the framework of federal and state regulations that are consistent with the enrollment management
objectives and goals of the University. The Director, Operations and Compliance provides customer service, and operational oversight and management of the Operation related functions and all workflow and processing activities for the department including but not limited to: system support, data imports, data entry, communication plans (letter and online), and technical resources. This position will represent Santa Clara University’s FAO, especially in the absence of the Dean, on campus and at state, regional and/or national meetings or conferences.

The Director, Operations and Compliance will collaborate with Senior Manager, Information Systems and Data to ensure successful integration and management of any new systems/software within the FAO and for training internal and external staff as needed so they may accurately and efficiently function in relation to the financial aid process. The Director,
Operations and Compliance creates and maintains a transparent operation focused on data integrity, efficiency, best practices and seeks improvement opportunities on a regular basis to ultimately provide students with a high quality, seamless customer service experience throughout the financial aid process.

This position oversees, manages, administers, implements, and interprets university and/or departmental procedures/policies and Financial Aid operations

This position will collaborate with the senior management team on the daily processes and operations, overseeing the University’s entire Financial Aid budget aid. This position is to ensure all federal/state/institutional grant programs including Loan Programs, are in compliance with federal/state/intuitional regulations and audit compliance with the University’s Federal Compliance Single Audit A-133.


1. Information Systems Planning

● Collaborates with proposals, designs, recommendations, implementation policies, procedures, and guidelines for the FA department.
● Oversees FA system updates, upgrades, integrations, data transfers, testing and troubleshooting.
● Provides supervision to troubleshooting issues related to FA technical applications (e.g. PeopleSoft, Workday, etc.)
● Collaborates with Senior Manager, Information Systems and Data to provide assistance and technical support to FA staff on development of reports and procedures for data capture.
● Manages the configuration, design, and execution of system processes, dashboards, and complex ad hoc reports.
● Responsible for FA technology upgrades and releases.
● Collaborates with Senior Manager, Information Systems and Data to ensure data integrity in coordination with EM and/or department operations lead(s); identifies data issues and works with staff to resolve issues through research, communication, and collaboration.
● Collaborates with Senior Manager, Information Systems and Data to review audit reports in all system modules to ensure data accuracy and integrity.
● Serves as a liaison and collaborates with the IT support team in the on-going
maintenance of EM/FA information systems and technology platforms. Researches and proposes solutions when system issues arise. Implements solutions where appropriate.
● Provide staff training on systems and new processes. Document technical processes and procedures and guide EM operations teams on technical documentation.

2. Manage and Oversee/Collaborate All Processes and Procedures for the FAO, the Financial Aid Application Process, and Related Procedures

● Coordinate and lead all financial aid processing functions including but not limited to the importing and preparation of files and communications with students and families.

● Train staff on high standards for executing projects accurately and in a timely manner to facilitate the awarding process.
● Develop and maintain an operations/implementation calendar to ensure that all daily and weekly processes are run as scheduled and do not conflict with other departments (i.e. Bursar, Admissions, Registrar).
● Manage incoming and outgoing data files for the Department of Education, College Board, WebGrants, California Student Aid Commission, Maguire & Associates, and major other programs as appropriate (See below).
● Direct communication tracks by ensuring that appropriate correspondence is sent to applicants and awarded students.
● Send weekly draw down request to the University Finance Office (UFO).
● Review institutional, state, and federal reports and surveys for accuracy, for instance, Common Data Set, IPEDS, FISAP, US News and World Reports etc.
● Direct Operations staff to facilitate project completion and meet established deadlines.

●Review department policies, procedures, and systems with a goal of increasing functionality and efficiency.

● Serves as a liaison with Admissions Operations staff for production in Slate. ● Oversees the preparation of student files selected for federal/state and internal audits.

●Acts as primary Destination Point Administrator (DPA), and is responsible for the destination point mailbox(es) represented by TG numbers assigned to that Destination Point (institution). The DPA assigns users access to the various SAIG electronic services by linking users with a mailbox/TG number that has a predetermined access level. Only the DPA or the Secondary DPA can change that level of access and must do so by increasing or decreasing the number of services associated with the TG number/mailbox. The DPA also collects and stores security agreements for all users. The DPA is responsible for validation of all user accounts.
● Responsible for coordinating and maintaining the Secure Document Upload system.

3. Manage FAO Activities Related to PeopleSoft/Workday

● Execute regular financial aid file preparation processes in all FAO systems. Maintain and update job sets.
● Manage Mass Awarding procedures for incoming freshman class and returning undergraduates/graduates.
● Manage the Aid Year Set Up in PeopleSoft/Workday.
● Manage and oversee the testing implementation of new software patches, regular update bundles, etc., in PeopleSoft/Workday
● Partners with IT to execute projects relating to improvements in electronic processes and services.
● Collaborates with Senior Manager, Information Systems and Data to create and maintain queries and reports.
● Troubleshoot and resolve processing issues. Research problems and implement procedures to ensure that they are not repeated.
● Coordinate activities with Information Technology (IT), Admissions, Bursar, and Registrar.
4. Help Interpret Policy and Regulations, and Provide Procedural Resources for the FAO
● Understand, interpret, and implement federal, state, agency, and university regulations as they pertain to the FAO for Financial Aid staff, students, and SCU faculty and staff as necessary.
● Review federal, state, and university rules and regulations to make sure that appropriate procedures are in place to ensure compliance. Continuously reviews, researches, and resolves office procedures and either makes changes or makes recommendations to the Dean as appropriate.
● Routinely exercises professional judgment relative to confidential student situations. In addition to helping interpret policy, regulations, and providing resources, act as back up as necessary for all functions within the FAO.

5. Compliance

● Coordinate staff effort to ensure compliance with federal and state awarding and verification requirements.
● Monitor all state grants, including grants from other states, as applicable. ● Provide training and updates to FAO staff regarding federal/state and policy changes and updates.
● Identify areas of non-compliance with financial aid and spearhead development of appropriate corrective actions to manage and mitigate risk.
● Improve consumer compliance practices.
● Coordinate with Dean, University Financial Aid Services to ensure all federal/state grant programs including Work study, Pell Grant, Cal Grant, and TEACH are in compliance with federal regulations and audit compliance with the University’s Federal Compliance Single Audit A-133.

6. Manage the Maguire Reporting Process and Communications

● Develop regular reports on enrollment management data and provide them to Maguire and Associates for analytics.
● Communicate with Maguire and Associates to request tracking information as required by Enrollment Management.
● Import and upload Maguire data to facilitate financial aid awarding of the incoming freshman class.
● Provide analysis of financial aid data to the Dean in deciding award strategies to meet enrollment goals within budgetary limitations.
● Participate in regular meetings with Maguire to establish enrollment goals.

7. Manage and Oversee Audits/Annual Federal Compliance Single Audit A-133

● Prepare required reports for auditors and submit secured files as directed.

●Communicates directly with auditors and submit secured files as directed.

●Supervise preparation of student files for auditors.
● Prepare responses to auditor questions.
● Prepare responses to any audit findings.
● Meet extensively with compliance auditors during the execution of the audit.

8. Manage Operations Staff; Supervising and Training

● Provide leadership, supervise, and direct operations staff in processing financial aid.

●Train staff on processes, procedures, and quality assurance.
● Meet regularly with Operations staff to assess ongoing projects and collaborate.

●Determine performance standards for Operations staff.
● Conduct performance reviews for Operations staff.
● Cultivating an environment of support, collegiality, and transparency will be essential so that staff will be encouraged to work to their potential for the betterment of the student experience.
● Work with staff to improve their understanding of aid programs and related rules and regulations.

9. Customer Service

● Advising and communicating with students, parents, campus departments, and other pertinent constituencies about financial aid eligibility, requirements, availability, and individual circumstance, where appropriate.
● Responds to various inquiries from internal/external audiences by telephone and in writing.
● Keep senior management informed of issues and concerns raised by inquiries; identifies and recommends changes in processes to better expedite financial aid processes (both general and student specific).

10. Personnel Leadership Duties

● Support the Dean to ensure smooth operation of the FAO.
● Serve as the FAO’s official liaison to other university departments, including the Enrollment Office, Bursar’s Office, and Human Resources.
● In the absence of the Director(s) of Packaging and/or Loans, responsible for making leadership decisions for the office and temporarily supervising Operations or Customer Service staff and/or projects.
● Collaborate with senior management team in the review of Financial Aid policies, procedures, and systems with a goal of increasing functionality and efficiency

11. Maintains University Financial Aid Policies

● Assisting in formulating and implementing Santa Clara University’s financial aid policies; overseeing the use of policies in a uniform and standard manner, and applying professional judgment to appropriate situations.
● Manages technological projects for the FAO. Researches options and makes
recommendations to the Dean of University Financial Aid Services for advancing technological options.

12. Review Applications

● Review financial aid applications including FAFSA, CSS/Financial Aid PROFILE, ISIR, CAR, DREAM Application, Appeals and professional judgment.

13. Computations

● Understand and interpret the Federal Methodology, State Methodology and Institutional Methodology need analysis computations.

14. Budgeting

● Understand and interpret the Federal Methodology, State Methodology and Institutional Methodology as relevant to budget preparation and review.

15. Communications

● Collaborate and coordinate with the senior management team and improve
communication applications, including website, E-mails, and printed
● Collaborate with senior management to develop and write text for financial aid family and student publications.
● Collaborate with senior management and Outreach staff to oversee the financial aid website, social media and publications, including graphic design and content.

16. Other Duties as Assigned

● Including, but not limited to, changing processes and procedures quickly to respond to the changing needs of students, the FAO, and financial aid regulations.


Supervises future operational roles (min. 2 FTE) and student assistants working on financial aid tasks.


Senior Manager, Information Systems and Data & Dean, University Financial Aid Services


1. Provide outstanding customer service, in person, on the phone, or by email, while demonstrating patience and understanding, to families and students who are seeking Financial Aid. Also to provide excellent internal customer service to University staff and other agencies on all aspects of financial aid programs
(federal, state, university, and private): policies, procedures, practices, office services, and document completion: process applications and/or documents related to aid programs.
2. This position may require some weekend and/or evening work.
3. This position may require travel beyond Santa Clara University to conferences, workshops, etc.

4. This position may be required to present financial aid related information to various audiences, which include forums both internal and/or external.
5. Recommends initiatives and implements changes to improve quality and services. 6. Identifies and determines cause of problems; develops and presents recommendations for improvement of established processes and practices.
7. Maintains contact with customers and solicits feedback for improved services.

8. Maximizes productivity through use of appropriate tools; planned training and performance initiatives.

9. Researches and develops resources that create timely and efficient workflow.

10. Prepares progress reports; informs supervisor of project status; and deviation from goals. Ensures completeness, accuracy and timeliness of all operational functions.
11. Prepares and submits reports as requested and required.
12. Develops and implements guidelines to support the functions of the unit.
13. Participate in interviewing and screening committees for other staff positions in Financial Aid.

14. Participate in leadership meetings/trainings with other Senior Management which will include Dean and Director and Sr. Associate Directors in Financial Aid.
15. Collaborate with Senior Management to ensure smooth day-to-day operations in the office of Financial Aid.

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The items below are representative of the knowledge, skills, abilities, education, and experience required or
preferred. This position requires the ability to effectively establish and maintain cooperative working relationships within a diverse multicultural environment.
Employees cannot be in default of Title IV loans.

1. Knowledge

● Knowledge of financial aid policies, procedures, eligibility requirements, and applicable federal and state regulations is required.
● PC proficiency required, including experience with database management. Knowledge of Microsoft Office, spreadsheets, and Google mail applications preferred.
● Individuals with knowledge of the CSS IM calculation are especially encouraged to apply.
● Knowledge and experience with automated systems (Workday preferred) and data processing.

2. Skills

● Exceptional organizational skills, strong interpersonal skills, attention to detail, and the ability to work independently and effectively with changing priorities in a high stress, fast paced environment is required.
● Must have excellent and effective communication skills and the ability to resolve a wide range of issues from inquiring students, parents and other staff.
● Communication skills, including the ability to communicate effectively in English, both orally and in writing.
● Skilled at maintaining a businesslike manner when handling changes to existing procedures, potentially stressful situations, and individuals.
● Strong computer skills required. MS Word, Excel, and Access required.

3. Abilities

● Must have the ability to work effectively with changing priorities in a high stress, fast paced environment, and a demonstrated ability to manage multiple tasks.
● Ability to interpret complex institutional, state, and federal regulations; exercise independent judgment in making decisions.
● Must have the ability to work effectively with faculty, staff, and students and parents from a variety of diverse backgrounds.
● Ability to manage confidential information.

● Understanding and support of the Jesuit tradition of education and commitment to the fundamental values of service to others, community, and diversity.

4. Education and/or Experience

A. Bachelor’s degree or equivalent experience.
B. Minimum of six years’ experience that demonstrates increasing responsibility in a service environment.
C. Demonstrated experience with independently coordinating long-term projects from implementation to completion.
D. Prior Supervisor experience in a service environment required.

The physical demands described below are representative of those that must be met by an employee to successfully perform the essential functions of this job. In accordance with the Americans with Disabilities Act, as amended, the California Fair Employment & Housing Act, and all other applicable laws, SCU provides reasonable accommodations for qualified persons with disabilities. A qualified individual is a person who meets skill, experience, education, or other requirements of the position, and who can perform the essential functions of the position with or without reasonable accommodation.

● Considerable time is spent at a desk using a computer terminal.
● May be required to travel to other buildings on the campus.
● May be required to attend conference and training sessions within Bay Area or in- or out-of-state locations.
● May be required to occasionally travel to outside customers, vendors or suppliers.

The work environment characteristics described below are representative of those an employee encounters while performing the essential functions of this job.

● Typical office and computer lab environment.
● Mostly an indoor office environment with windows.
● Offices with equipment noise.
● Offices with frequent interruptions.

COVID-19 Statement

The health and safety of the university community is a top priority. All Santa Clara University students, and employees are required to be vaccinated against COVID-19 or request a medical or religious exemption. Please visit our COVID-19 webpage for additional information.

EEO Statement

​Equal Opportunity/Notice of Nondiscrimination

Santa Clara University is an equal opportunity/equal access/affirmative action employer fully committed to achieving a diverse workforce and complies with all Federal and California State laws, regulations, and executive orders regarding non-discrimination and affirmative action. Applications from members of historically underrepresented groups are especially encouraged. For a complete copy of Santa Clara University’s equal opportunity and nondiscrimination policies, see

Title IX of the Education Amendments of 1972

Santa Clara University does not discriminate in its employment practices or in its educational programs or activities on the basis of sex/gender, and prohibits retaliation against any person opposing discrimination or participating in any discrimination investigation or complaint process internally or externally. The Title IX Coordinator and Section 504 and ADA Coordinator is Aaron Zisser, Director of Equal Opportunity and Title IX, 408-551-3043, , Inquiries can also be made to the Assistant Secretary of Education within the Office for Civil Rights (OCR).

Clery Notice of Availability

Santa Clara University annually collects information about campus crimes and other reportable incidents in accordance with the federal Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act. To view the Santa Clara University report, please go to the Campus Safety Services website. To request a paper copy please call Campus Safety at (408) 554-4441. The report includes the type of crime, venue, and number of occurrences.

Americans with Disabilities Act

Santa Clara University affirms its commitment to employ qualified individuals with disabilities within the workplace and to comply with the Americans with Disability Act. All applicants desiring an accommodation should contact the Department of Human Resources, and 408-554-5750 and request to speak to Indu Ahluwalia by phone at 408-554-5750 or by email at

To view the full job posting and apply for this position, go to–Operations-and-Compliance_R4081


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