Compliance Regulatory & Investigation Specialist

Socket.dev; Lafayette (IN); On-site; USD 70,000 - 100,000; Full time

Job summary

Subaru of Indiana Automotive, Inc. seeks an Ethics & Compliance Investigation Specialist to conduct timely, thorough investigations of compliance and ethics concerns, with objective documentation and recommendations for corrective actions.

The role analyzes facts, applies policies, and supports leadership reporting. The incumbent will coordinate with Legal, HR, plant leadership, and other stakeholders to strengthen controls and prevent recurrence.

Qualifications

• Bachelor’s degree or equivalent experience.
• 4+ years in compliance, investigations, ethics, HR investigations, audit, risk management, or related field.
• Familiarity with regulatory requirements and best practices for internal compliance investigations.
• Experience conducting interviews, reviewing evidence, documenting facts, and writing reports.

Responsibilities

• Conduct full-cycle investigations of reports and concerns with intake review, evidence gathering, interviews, and documentation.
• Develop corrective actions, preventative measures, and countermeasures.
• Perform root cause analyses using methods like 5 Whys, PDCA, Kaizen.
• Collaborate with Legal, HR, operations, and executives to determine appropriate actions.
• Monitor corrective actions and report progress to Compliance Manager.

Skills

Compliance investigations

Interviews

Root cause analysis

Policy application

Structured problem solving

Evidence review

Education

Bachelor’s degree in a related field

Tools

Navex EthicsPoint

Job description

Ethics & Compliance Investigation Specialist

Legal & Compliance Department

Position Summary:

The Ethics and Compliance Investigation Specialist is responsible for conducting timely, thorough, objective, and well-documented investigations into reported compliance concerns, ethics concerns, policy violations, and other matters assigned by the Compliance Manager. The role evaluates facts, applies relevant laws, regulations, company policies, and procedures, and performs root cause analysis to identify contributing factors and systemic issues. The Specialist develops practical recommendations for corrective actions, preventative measures, and countermeasures that address identified root causes and reduce the likelihood of recurrence. The position also supports investigation-related recordkeeping, trend identification, and leadership reporting as directed.

Outline of duties:

1. Conducts full cycle compliance investigations of assigned compliance hotline reports, ethics concerns, policy violations, and related matters of varying complexity, including intake review, issue identification, evidence gathering, interviews, documentation, root cause analysis, and case closure activities.
2. Develops practical recommendations for corrective actions, preventative measures, and countermeasures designed to address identified root causes, reduce recurrence, strengthen controls, and support continuous improvement.
3. Performs root cause analysis using appropriate problem-solving methods, such as 5 Whys, PDCA, Kaizen, process review, control review, and contributing-factor analysis, to identify underlying causes, systemic issues, gaps, control weaknesses, cultural factors, or other conditions that contribute to the reported concern when appropriate.
4. Collaborates with Legal, Human Resources, plant floor leadership, Finance, and other stakeholders as needed to understand facts, evaluate policy or process requirements, align on appropriate responsive actions, and support timely completion of assigned matters.
5. Monitors assigned corrective actions or countermeasures as directed to verify completion, identify delays or barriers and expedite unresolved items to the Compliance Manager.
6. Prepares and presents concise investigation summaries, reports, trend information, and presentations for review by the Compliance Manager, Executive Compliance Committee, leadership, or other stakeholders as directed.
7. Provides investigation‑related guidance, coaching, and training support to Associates and/or stakeholders as assigned, including support on compliance policies, hotline awareness, ethical conduct and accountability expectations.
8. Collaborate with all stakeholders through effective communication and partnership to develop a positive compliance culture.
9. Analyzes assigned investigation data and case outcomes to identify recurring issues, emerging compliance or ethics risks, repeat root causes, process gaps, or opportunities for preventive action.
10. Supports spot audits, compliance monitoring initiatives, and other compliance initiatives as assigned, particularly where investigation findings indicate potential process control or training needs
11. conducts interviews and other fact‑finding activities in a fair, respectful, and professional manner while maintaining confidentiality, neutrality, and appropriate documentation.
12. Tracks and documents case activity, investigative steps, evidence, findings, recommendations, corrective actions, and closure information in the designated case management system or other approved records repository.
13. Maintains confidentiality, professionalism, neutrality, and sound judgment when handling confidential information, investigation materials, and interactions with Associate at all levels.
14. Performs all other duties as assigned.

Minimum Qualifications:

1. • Bachelor’s degree in a related field, or equivalent combination of education and relevant experience.
   • 4+ years of experience in compliance, investigations, ethics, human resources investigations, audit, risk management, legal support, regulatory matters, or a related field.
   • Familiarity with regulatory requirements and best practices for internal compliance investigation programs
   • Demonstrated experience conducting interviews, reviewing evidence, documenting facts, and preparing written summaries or reports.
   • Demonstrated ability to apply policies, procedures, standards, laws, or regulations to fact patterns.
   • Experience using structured problem‑solving or root cause analysis methods

Desired Qualifications:

1. • Experience interacting with multiple levels of personnel within an organization, including hourly associates, management, senior leadership, legal counsel, and external stakeholders as appropriate.
   • Experience with Navex EthicsPoint or equivalent case management software.
   • Experience working in a manufacturing, automotive, or industrial environment
   • Experience working for an international company or with cross‑cultural stakeholders
   • Training or certification in workplace investigations, compliance, ethics, root cause analysis, corrective action management, audit, risk management, or related disciplines.

Subaru of Indiana Automotive, Inc. is an equal opportunity employer committed to employing a diverse workforce.