Compliance Investigator - Office of Investigation and Resolution

Audit & Compliance Officer 2/Compliance Investigator – Office of Investigation & Resolution (OIR)

Market Range 13

The Office of Investigation & Resolution seeks a full-time Compliance Investigator (Audit & Compliance Officer 2). To apply, applicants should submit a cover letter detailing relevant experience along with a resume and contact information for a minimum of three references.

Reporting to the Executive Director of the Office of Investigation & Resolution, this position will be responsible for ensuring compliance with applicable laws/campus policies and promoting the ethical and responsible conduct of employees by executing impartial investigation processes in accordance with

office procedures and university policy. Specifically, the Compliance Investigator receives, reviews, and/or investigates reports and complaints of misconduct, including discrimination and/or harassment, by a university employee; executes non-investigatory and/or administrative resolutions of reports and complaints, as appropriate; drafts investigation reports and monitors investigation timelines; and

ensures comprehensive, thorough, and accurate records for all reports, complaints, investigations, and resolutions.

Job Functions/Responsibilities

• Complaint/Report Intake Review:
• Conducts intake reviews of reports or complaints that a university employee violated a campus policy, including a nondiscrimination or harassment policy, in collaboration with other compliance investigators;
• Sends acknowledgments of receipts of reports and schedules Intake Review meetings with Reporters and/or Complainants in a timely fashion;
• Manages day-to-day responsibilities associated with completing an Intake Review, including scheduling, interviewing, information gathering, and record keeping;
• Conducts thorough interviews and takes thorough and accurate notes;
• Engages in conversations that involve difficult and sensitive matters;
• Assesses the need for any Interim measures to promote safety and/or avoid continued noncompliance with campus policy;
• Connects parties and witnesses to available campus resources for support as necessary;
• Identifies appropriate outcome of the Intake Review (case closure, referral, or investigation) in collaboration with the Executive Director or other senior staff; and
• Distributes case closure and/or referral memoranda (including relevant appeals process information) as appropriate.
• Complaint/Report Investigation:
• Manages day-to-day responsibilities associated with completing an investigation, including scheduling and interviewing parties and witnesses and gathering relevant evidence;
• Engages in conversations that involve difficult and sensitive matters;
• Assesses the need for any Interim measures to promote safety and/or avoid continued noncompliance with campus policy;
• Connects parties and witnesses to available campus resources for support as necessary;
• Drafts and distributes party statement review documents before completing investigative reports;
• Drafts comprehensive, accurate, and detailed reports, including references to relevant campus policy, findings of fact, and conclusions; and
• Connects parties and witnesses to available campus resources for support as necessary.
• Complaint/Report Administration or Alternative Resolution:
• Assesses whether a non-investigatory and/or Alternative Resolution is an appropriate option for resolving a complaint or report;
• Assists in coordinating and/or executing non-investigatory actions including targeted education, professional development, training, or other administrative assistance; and
• Drafts and distributes appropriate documentation of non-investigative resolutions.
• Case Management and Documentation:
• Maintains organized and complete electronic case files with appropriate documentation;
• Records appropriate case charges, findings, tags, and bases for closure in electronic case files to ensure accurate analytical reports and data summaries;
• Uses appropriate acknowledgment, scheduling, closure memo, statement review, and investigation report templates; and
• Reassigns cases to the Executive Director or other senior staff for closure.
• Campus Leadership and Services:
• Represents the office on an ad hoc basis on various campus committees and in various campus standing meetings;
• Maintains productive and respectful relationships with campus partners and colleagues;
• Participates in continuing education and professional development; and
• Completes other duties as assigned.
  
  

Job

Other Professional

Primary Location

US-Tennessee-knoxville

Organization

Office Of Investigations & Resolution

Schedule

Full-time

Campus/Institute

Knoxville

Job Posting

Oct 1, 2024, 1:52:50 PM

Requirements

• Required Level/Type of Experience:
• 1 year of relevant experience or equivalent combination of education, training, and expertise.
• Education:
• Masters or Terminal Degree
• Preferred Level/Type of Experience:
• Juris Doctorate, Rule 31 Mediator, Higher Education Experience (Civil Rights, Title IX)
• Competencies/Qualifications:
• Demonstrated experience/ability in conducting timely investigations (evaluating complaints/allegations, drafting notices and correspondence, interviewing, gathering evidence, developing a file, composing a professional investigative report, communicating effectively, updating databases);
• Master's, graduate, or terminal degree;
• Excellent verbal and written communication skills;
• Demonstrated experience/ability to determine and apply appropriate institutional policies;
• Demonstrated experience/ability to exercise discretion, superior judgment, analytical skills, and neutrality in highly sensitive situations;
• Knowledge and understanding of electronic records databases;
• Ability to manage time, obligations, and active caseload;
• Ability to function in a team environment (collaborate, contribute, take/receive direction and feedback); and
• Ability to maintain effective relationships with members of the University community.