Job SummaryThe Export Compliance Manager (EC Manager) will report to the Associate Vice Provost for Research Policy and Compliance as a member of the Office of Research Security (ORS) and will implement and oversee the Caltech Export Compliance Program for the Institute. The ORS is under the direction of the Office of Research Policy, Office of the Vice Provost for Research, and is responsible for supporting the Institute community in understanding and complying with research security requirements prescribed by the National Security Presidential Memorandum 33 (NSPM-33), including, but not limited to, requirements for disclosure, transparency, compliance with export laws and regulations, travel reporting and approval, cybersecurity, and training in these areas. The Office of Research Security is focused on compliance with these highly technical regulations and emphasizes assisting researchers in such a way as to foster the ongoing research and education activities of Caltech while ensuring compliance and safeguarding the research enterprise.
The EC Manager will be responsible for oversight of Caltech's Export Compliance Program, which encompasses interpretation of complex government regulations; possessing the ability to research and analyze technical parameters of a product or technology for export controls; the ability to conduct document review to determine whether information falls under the export control regulations; preparing licenses and developing processes; and performing internal assessments of export and import procedures. The EC Manager serves a critical role by ensuring Caltech research complies with legal and regulatory obligations related to export and import control, research security, and all relevant Institute policies. In their oversight role, they will help maintain and continuously improve a robust, integrated, and effective compliance program; partner with campus process owners to identify and address regulatory requirements and implementation; and provide strategic oversight to staff and faculty with related responsibilities within their departments. They will bring a thorough understanding of related laws and regulations, such as the International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), and Office of Foreign Assets Control (OFAC) sanctions regulations, and they will demonstrate proven skills in risk-based analysis, decision-making, and communications.
The EC Manager must effectively interface with faculty, postdocs, and research staff to review their research and related activities, both within and outside of the Institute, and must work closely with colleagues in the Office of Research Security, the Offices of Sponsored Research, Technology Transfer and Corporate Partnerships, General Counsel, the Institute's Information Management and System Services, the Institutional Review Entity and Administrative Committee on Biosafety (Caltech's IBC), and any other relevant regulatory committees or bodies at Caltech to ensure a robust export compliance program. To this end, it is preferred that the EC Manager have a background in science or engineering and strong communication skills to facilitate these conversations.
Essential Job Duties- Conducts project assessments and reviews for compliance with export regulations, NSPM-33, the CHIPS and Science Act, and Caltech policies. Assessments and reviews include review of project personnel, international collaborations, restricted party screenings, compliance with sponsor requirements, and export license determinations. Interfaces with project personnel to implement any requirements and written rationale in support of review, as required.
- In collaboration with the Caltech Conflict of Interest Manager, reviews international collaborations for export, NSPM-33, and CHIPS and Science Act compliance; and interfaces with faculty and researchers to ensure compliance with relevant export and research security requirements and regulations.
- Provides technical review, classification, and analysis of technologies and items for export compliance and research security, as applicable, to ensure compliance with regulatory and safeguarding requirements.
- Works closely with researchers, staff, and internal and external stakeholders to assess and address existing and potential export control and research security issues.
- Works with researchers to gather sufficient information to conduct export classification/license determination of projects and shipments, including classification/license determinations of hardware, software, technical data, technology transfers, and preparation of export licenses.
- Interfaces with staff and researchers to conduct export license determinations for the Department of Homeland Security I-129 process.
- Prepares and submits export licenses, Technology Control Plans, and Security Plans, and serves as the primary liaison between the customs broker and Caltech.
- Works with the Caltech Conflict of Interest Manager, the Office of Research Compliance, and other offices, as applicable, to develop procedures to ensure import and export and research security compliance guidance to campus researchers and staff.
- In cooperation with the Associate Vice Provost, Conflict of Interest Manager, and the other Research Security and Compliance staff, reviews research terms and conditions and assists the Office of Sponsored Research and researchers with compliance with research security requirements, including determinations of any export restrictions that may apply.
- Develops procedures and provides export compliance guidance and export awareness training to campus researchers and staff consistent with current regulatory requirements and maintains a robust website.
- In conjunction with the Caltech Conflict of Interest Manager and relevant stakeholders, develops and provides export and research security awareness training and other resources to campus process owners and researchers.
- Assists in further developing and updating the export compliance and research security programs and ensures appropriate risk protection.
- Performs internal campus assessments to determine effectiveness of export compliance and research security procedures.
- Performs other duties as assigned.
Basic Qualifications- Bachelor's degree, preferably in a scientific or engineering discipline.
- Independent, detail-oriented, reliable, with excellent problem-solving and decision-making skills.
- Must possess excellent verbal and written communication skills with the ability to effectively communicate with faculty, all levels of staff and researchers, government officials, and vendors.
- Ability to interpret government regulations and analyze against technical specifications of a product or technology.
- Experience with U.S. export regulations and laws (ITAR, EAR, and OFAC) and experience with export/import classifications and denied party screening requirements.
- Experience with import and export control commodity classifications and export/import license application preparation and submittal.
- Collaborative team player who builds effective working relationships across academic and administrative units.
- Ability to handle confidential matters with discretion and exercise good judgment.
- Proven strong organizational skills; ability to independently manage multiple concurrent tasks and projects and ability to re-prioritize on a continuous basis.
Preferred Qualifications- MS or PhD in a scientific or engineering discipline.
- Strong engineering or other demonstrated technical background, such as experience working with space flight projects, aerospace/defense industry, or related areas such as semiconductor, sensor, detector, optics, or laser industries.
- Experience with ITAR, EAR, DOE, OFAC regulations and NSPM-33, the CHIPS and Science Act, and related guidance, rules, and regulations.
- Licensed U.S. Customs Broker or good working knowledge of the Harmonized Tariff Schedule.
- Excellent computer skills; prior experience with eCustoms, Microsoft Excel and Word, AES, SNAP-R, and DECCS.
Required DocumentsHiring Range$129,200 - $151,000 per year
The salary of the finalist(s) selected for this role will be set based on a variety of factors, including but not limited to, internal equity, experience, education, specialty and training.
As one of the largest employers in Pasadena, CA, Caltech is committed to providing comprehensive benefits to eligible employees and their eligible dependents. Our benefits package includes competitive compensation, health, dental, and vision insurance, retirement savings plans, generous paid time off (vacation, holidays, sick time, parental leave, bereavement, etc.), tuition reimbursement, and more. Non-benefit eligible employees will have access to some benefits such as onsite counseling and sick time. Learn more about our benefits and staff perks.
