Compliance Investigator

UConn Careers • Storrs, CT

2d • $85,000 - $99,000

About The Position

The University of Connecticut seeks a highly motivated professional with demonstrable subject matter experience to serve as a Compliance Investigator within its Office of University Compliance. The Compliance Investigator will assist the Director of University Compliance in the day-to-day implementation and management of the University’s Compliance Office and will have primary responsibility for managing and conducting compliance investigations. The Compliance Investigator will be hired at either the University Staff Professional (USP) 1 classification or the University Staff Professional (USP) 2 classification, dependent upon the incumbent’s experience, skills, and abilities as determined by the University. The USP 1 classification will be used for an early-career professional, whereas the USP 2 classification will be used for a seasoned professional. While the USP 1 will still perform the duties and responsibilities listed below, they will work under more direct supervision of the Director of University Compliance, compared to the USP 2, who will perform the duties under more general supervision.

Requirements

• Bachelor's degree and two years of professional experience in compliance or a related field.
• The University Staff Professional 2 classification requires at least five years of professional experience in compliance or a related field.
• Experience independently conducting investigations, including but not limited to interviewing parties, collecting and reviewing evidence, analyzing policies, and making factual findings.
• Demonstrated written and verbal communication with strong attention to detail.

Nice To Haves

• Graduate degree or Juris Doctor (JD).
• Six or more years of experience in compliance or a related field.
• Experience conducting employment and/or compliance investigations (e.g., conflict of interest, misuse of resources, fraud, retaliation).
• Relevant certification, such as CFE, CPA, or CCEP.
• Professional experience in higher education.

Responsibilities

• Conduct comprehensive compliance investigations, including, but not limited to, conflicts of interest, fraud, misuse of resources, and allegations of whistleblower retaliation.
• Independently manage a case load of compliance investigations and respond to compliance inquiries through the application of sound case management and investigative techniques that ensure a thorough and fair review of allegations.
• Autonomously establish and maintain clear and consistent methods for investigation plans and workflows that are in line with best practice and bring efficient resolution.
• Conducting interviews with parties, witnesses, and content area experts.
• Collecting and evaluating relevant materials and documents.
• Collaborating and communicating with various constituents.
• Preparing comprehensive investigation reports that encompass the allegations, findings of facts, analysis of relevant policies and findings, and recommendations.
• Ensuring case files are accurate, complete, and follow state record retention laws.
• Assist in the maintenance of the case management system (EthicsPoint) and develop and monitor key performance metrics to enhance the effectiveness of investigations and case management.
• Assist with the review and revision of investigation and case management protocols, procedures, and guidance documents.
• Collaborate with University offices, such as Labor Relations, Audit and Management Advisory Services, General Counsel and the Office of Institutional Equity, on investigations that involve multiple subject areas or require specific stakeholder involvement.
• Identify opportunities for targeted compliance education and training through the analysis of investigation trends; work collaboratively with University Compliance staff to develop content and communication related to reporting compliance concerns.
• Maintain current understanding of compliance trends and changes in laws impacting higher education.
• Maintain engagement in relevant professional organizations, such as the Society for Corporate Compliance and Ethics (SCCE), the National Association of College and University Attorneys (NACUA), or other relevant professional associations.
• Serve as a resource to the University community on compliance-related matters and respond to inquiries and questions.
• Represent University Compliance on various University committees as a representative of the Compliance Program, as assigned.
• Perform related duties as required.

Benefits

• The University offers a competitive salary, and outstanding benefits, including employee and dependent tuition waivers at UConn, and a highly desirable work environment.
• For additional information regarding benefits visit: https://hr.uconn.edu/health-benefits/.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees