Associate Director, Compliance

Socket.dev; Belknap (KY); On-site; USD 90,000 - 120,000; Full time

Job summary

The University of Louisville seeks an Associate Director, Compliance to oversee the university’s case management and lead investigations into misconduct. You will draft reports, ensure timely resolutions, and educate staff on reporting duties and non-retaliation policies.

Reporting to the AVP for Risk and Compliance, you will supervise senior staff, coordinate with Counsel, HR, and University Police, and prepare periodic investigation statistics for policy and risk management decisions.

Qualifications

• Bachelor's degree in a related field and 6 years of relevant experience.
• CCEP or certified within one year of employment.
• Experience leading investigations and handling compliance matters.

Responsibilities

• Manage and prioritize case files to ensure timely resolutions.
• Conduct investigations into misconduct per university policies.
• Obtain and evaluate evidence, interview stakeholders, and document findings.
• Prepare reports and present recommendations to leadership.
• Supervise senior staff and provide training as needed.

Skills

Interpersonal skills

Written & verbal communication

Data analysis

Microsoft Office

Education

Bachelor's degree in related field

CCEP certification or eligible

Tools

Case management software

Job description

Department

Risk & Compliance

Location

Belknap Campus

Time Type

Full time

Worker Type

Regular

Job Req ID

R109186

Minimum Requirements

Bachelor's degree in a related field and six (6) years of relevant experience or an equivalent combination of education and experience. Certified Compliance and Ethics Professional (CCEP) or certified within one year of employment. Grade 8 (Salaried)

Position Description

The Associate Director, Compliance reports to the Assistant Vice President for Risk and Compliance at the University of Louisville. The primary role is overseeing the university’s case management system of all incoming complaint allegations; leading and conducting investigations of reported allegations of misconduct that are in violation of university policy or procedure, including allegations of employee fiscal misconduct, fraud, waste, and abuse; collecting and maintaining thorough and accurate documentation; drafting reports on the results of the investigations; ensuring timely resolution of complaints; and educating the university about the duty to report and prohibiting retaliation policy and associated investigative procedures. The position is also responsible for supervision of senior compliance specialist staff with assigned case management and investigative duties.

Essential Duties and Responsibilities

• Manage, organize, and prioritize case files to ensure timely resolution of complaints.
• Conduct objective, fair, thorough, unbiased, and timely investigations into allegations of misconduct in accordance with the university’s investigation policies and procedures, including fiscal misconduct and fraud, waste, and abuse allegations.
• Obtain and evaluate evidence, including physical documents and electronic records, and conduct interviews with people of interest, witnesses, and subject matter experts.
• Communicate the results of the investigations through written reports with recommendations. Follow up on the completion of the recommendations, including validating effective implementation.
• Maintain accurate, thorough, and complete documentation for each complaint allegation within the case file.
• Serve as the system administrator for the university compliance hotline system and maintain and update the vendor contract and serve as point of contact with the vendor.
• Work with the Office of University Counsel, Human Resources, Office of Legal Compliance and Investigations, University Police, and others as determined necessary.
• Educate and provide training to investigative offices and others as needed across the university about the Duty to Report and Non-Retaliation Policy and associated procedures on Conducting University Investigations.
• Supervise senior compliance specialist with case management and investigative duties.
• Prepare and provide quarterly and annual reports of investigation statistics to the Assistant Vice President for Risk and Compliance.
• Other duties as assigned.

Preferred Qualifications

• Bachelor's Degree from an accredited college or university, with a major in criminal justice, public administration, business or other relevant field.
• Direct experience leading and conducting investigations and issuing reports with the results of the investigations.
• Experience in supervising staff and presenting educational and/or training materials are required.
• Prior work experience in higher education and in conducting fiscal misconduct investigations.

Competencies

Strong interpersonal and written and verbal communications skills. Ability to work independently with minimum supervision. Honest and ethical with high levels of integrity and confidentiality. Strong data analysis skills. Proficient in Microsoft Office products particularly Word, Excel, and Teams.

Compensation will be commensurate to candidate experience.

Equal Employment Opportunity

The University of Louisville is an Equal Employment Opportunity employer. The University strives to provide equal employment opportunity on the basis of merit and without unlawful discrimination on the basis of race, sex, age, color, national origin, ethnicity, creed, religion, disability, genetic information, sexual orientation, gender, gender identity or expression, veteran status, marital status, or pregnancy.In accordance with the Rehabilitation Act of 1973 and the Vietnam Era Veteran Readjustment Act of 1974, the University prohibits job discrimination of individuals with disabilities, Vietnam era veterans, qualified special disabled veterans, recently separated veterans, and other protected veterans.The University acknowledges its obligations to ensure affirmative steps are taken to ensure equal employment opportunities for all employees and applicants for employment. It is the policy of the University that no employee or applicant for employment be subject to unlawful discrimination in terms of recruitment, hiring, promotion, contract, contract renewal, tenure, compensation, benefits, and/or working conditions. No employee or applicant for employment is required to endorse or condemn a specific ideology, political viewpoint, or social viewpoint to be eligible for hiring, contract renewal, tenure, or promotion.

Consistent with applicable law, demographic information is collected for aggregate reporting requirements. Demographic information provided through this application is not available to hiring managers/committees and is not considered in hiring or employment decisions.

Assistance and Accommodations

Computers are available for application submission at the Human Resources Department located at 2315 South First Street Walk, Room 02C - Louisville, Kentucky 40292.

If you require assistance or accommodation with our online application process, please contact us by email at [e-mail] or by phone [phone].