ECIT Quality, Professional Practice & Complex Investigations Associate Director

EY • Hartford, DC

2d • Hybrid

About The Position

Working with leadership in Talent, Service Lines, Industry Groups, and Core Business Services (CBS), including Ethics Complaince and Risk Management (ECRM) and the General Counsel’s Office (GCO), the Associate Director will lead investigations involving quality, professional practice, and other complex issues or concerns as part of the US Ethics & Compliance Investigations Team (ECIT).

The Associate Director will be responsible for handling employee and partner/principal investigations involving quality, professional practice, and other complex issues or concerns across the firm. The Associate Director also will support the ECIT in other investigative matters and priorities, as needed. The Associate Director will work seamlessly with colleagues from Talent, GCO, the business (including Service Line Quality and Professional Practice personnel), and other stakeholders to investigate relevant matters, make factual findings, provide disciplinary recommendations, and foster appropriate accountability to drive business results.

The Associate Director will conduct root cause analyses of matters for risk mitigation, including awareness building communications, related training plans, policy clarifications, and control enhancements. In addition, the Associate Director will work with colleagues in ECRM to conduct case analyses, identify trends, and provide recommendations for continuous improvement efforts across ECRM and the firm.

Requirements

• 10+ years conducting investigations or other relevant experience, preferably with experience leading investigations at a professional services firm.
• Knowledge of regulatory environment and requirements.
• Excellent writing and editing skills, ideally including investigative summary memos or other legal documents.
• Demonstrated ability to achieve results, solution-oriented, and an ability to lead colleagues through and manage complex and high-risk situations.
• Ability to quickly learn new areas of the business as required for investigations.
• Substantive knowledge of employee investigations and related employment and labor law and best practices.
• Strong problem solving and analytical skills with ability to make sound observations and recommendations.
• Excellent oral and written communication skills and demonstrated ability to communicate effectively and diplomatically with all levels of personnel, including firm and business leaders.
• Exceptionally strong analytical abilities in order to synthesize complex facts to determine actions.
• Deep understanding of a consultative approach towards internal clients and stakeholders with proven ability to influence others and build strong relationships.
• Ethics & Compliance program experience preferred.
• Ability to operate independently with broad decision-making authority in significant matters but not afraid to seek guidance or consult with colleagues for altnerative views/suggestions.
• Travel will be required though the frequency may vary dependent upon business needs.

Nice To Haves

• Advanced degree or equivalent work experience; attorney qualification/juris doctor (JD) preferred
• This position is most likely to require an attorney qualification, but qualification by other experience may be considered.
• Leadership Professional in Ethics and Compliance (LPEC) or Certified Compliance & Ethics Professional (CCEP) certification preferred.

Responsibilities

• Conduct, manage, and/or oversee quality, professional practice, and other complex investigations and matters, including making factual findings, interperting and applying firm policies and procedures, assessing potential misconduct, drafting and editing case summaries, and reviewing conclusions and findings for accuracy and consistency.
• Assist ECIT as needed in other investigative matters and priorities, including handling investigations, enhancing processes, and advancing remediation and root cause efforts.
• Supervise and/or mentor other ECIT team members as required.
• Assist in creating and developing processes and protocols governing quality, professional practice, and other complex investigations, ensuring consistency, fairness, trust, completeness, and respect.
• Develop and maintain relationships with Service Line Quality, Professional Practice, GCO, other key business stakeholders, Talent Leaders and Consultants, and the Talent Employee Relations Team.
• Make recommendations regarding plans and initiatives to prevent violations and address root causes.
• Stay current on laws, standards, guidance, relevant enforcement actions, and other developments impacting professionals at the firm to maintain subject matter expertise in handling quality and professional practice-related matters.
• Support change management initiatives and leading constituents through significant changes.
• Manage or praticipate in large, complex projects.
• Possess high level of knowledge regarding investigative best practices and processes.
• Significant level of autonomy in making difficult and often nuanced deisions involving investigative matters.
• Detailed and intricate analysis is required.
• Regularly pursue efficiencies, including leveraging tehnology.

Benefits

• We offer a comprehensive compensation and benefits package where you’ll be rewarded based on your performance and recognized for the value you bring to the business.
• The base salary range for this job in all geographic locations in the US is $130,900 to $252,000.
• The base salary range for New York City Metro Area, Washington State and California (excluding Sacramento) is $157,100 to $286,400.
• Individual salaries within those ranges are determined through a wide variety of factors including but not limited to education, experience, knowledge, skills and geography.
• In addition, our Total Rewards package includes medical and dental coverage, pension and 401(k) plans, and a wide range of paid time off options.
• Under our flexible vacation policy, you’ll decide how much vacation time you need based on your own personal circumstances. You’ll also be granted time off for designated EY Paid Holidays, Winter/Summer breaks, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed