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Tracking Compliance in Treasury and Finance

On-Demand | Originally Broadcast on October 3, 2018

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Universities, both public and private, face increased compliance requirements from stakeholders, state and federal agencies and other interested parties. Keeping track of what is required and who is responsible is vital in managing this area. North Carolina State University has developed a shared, collaborative document in its Finance function that identifies the varied compliance requirements within its six departments (Cashier, Controller, Contracts & Grants, Debt, Foundations, Materials Management).

Covering a variety of due dates and deadlines, this document allows each departmental director and the Associate Vice Chancellor for Finance to see what is coming due, when items were completed, and once completed if there were any issues. Covering compliance issues related to Federal Uniform Guidance, Internal Revenue Service, Bond covenants, State reporting deadlines, University System reporting and other areas, it allows real-time, active management of compliance, documentation of completion as well as being a resource in the event of personnel changes. This document, originally used to identify training needs, evolved into a way to establish accountability and be a resource for leadership within the Finance Division.

Meet the Presenters

  • Mary Peloquin-Dodd, Associate Vice Chancellor for Finance and University Treasurer, North Carolina State University
  • Lori Johnson, Sr. Director, Strategic Debt & Financial Management, North Carolina State University
  • Andrew Coats, University Program Manager, Strategic Debt & Financial Management, North Carolina State University
  • Sue Menditto (moderator), Director, Accounting Policy, NACUBO

Webcast Finance

What You Will Learn

NACUBO’s professional development programs are designed to deliver the skills, concepts, and best practices for success to individuals in the business of higher education. After participating in this program, you will be able to:

  • Why identifying and tracking compliance is important.
  • How to identify compliance activities and risks.
  • How tracking aids in risk mitigation/control.

Who Should Attend

  • Controllers
  • AVPs of Finance and Administration
  • Budget Directors and Managers
  • Internal Auditors
  • Financial Managers
  • Treasury Managers
  • Tax Managers

CPE Information


Field of Study: Management Services - Technical (note: each person must register individually to earn CPEs)

NACUBO is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website

Registration Rates

Registration assistance: 800.462.4916 or

Cancellation Policies

Member Standard Ends April 4, 2077


Non-Member Standard Ends April 4, 2077