Ethics and Compliance Investigations Operations Specialist - Assistant Director
EY, Fort Worth, TX, United States
Ethics and Compliance Investigations Operations Specialist – Assistant Director
Location: Anywhere in Country
EY focuses on high ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities.
The Opportunity The Ethics and Compliance Investigations Team (ECIT) is a high-performing, centralized team under Ethics, Compliance, and Risk Management (ECRM) that conducts and manages Code of Conduct related investigations. As an Investigations Operations Specialist in the ECIT, you’ll play an integral role in supporting our mission and operations and mitigating risk. In return, you’ll have the support of a network of highly knowledgeable colleagues and the opportunity to make a significant impact on your team and EY. With a diverse range of responsibilities, your strong organizational and analytical skills, understanding of our business and key stakeholders, self‑driven initiative, and keen eye for detail will be keys to success in this role.
Your Key Responsibilities
Conduct, perform quality control reviews and collate detailed reporting and analyses to identify and mitigate potential risks within the organization.
Monthly, quarterly and/or ad hoc reports regarding conduct matters, ensuring accuracy and timeliness.
Regular and ad hoc data analyses to support various firmwide stakeholders with insights on conduct matters within their teams.
Support required firm responses to regulatory data requests.
Maintenance of centralized case management system to ensure accurate and thorough records and monitor aging of matters and related reporting.
Conduct regular input and audits of the centralized case management system.
Maintain accurate and thorough case records for EY/Ethics Hotline matters.
Consult with global counterparts for EY/Ethics Hotline matters.
Perform thorough due diligence regarding personnel conduct history in advance of potential firm actions, including but not limited to performance separations and reductions in force.
Monitor the ECIT mailbox, routing emails to the appropriate recipient and ensuring timely responses.
Facilitate the provision of information concerning substantiated matters to firmwide stakeholders.
Establish best practices around reporting.
May make recommendations for training, awareness, communications and more.
May lead and/or participate in medium to large projects.
Share best practices and mentor others.
May supervise and/or mentor other team members.
May conduct investigation triage with input from key stakeholders.
You may also have opportunities to assist with the design, implementation and updating of workflow or documentation processes and analytic efforts.
Skills and Attributes for Success
Proficiency in Microsoft Office suite, with advanced skills in Excel.
Substantial experience working with a case management system or similar tracking systems; experience with Navex is a plus.
Ability to maintain the highest levels of confidentiality regarding personal data related to employee concerns and performance issues.
Ability to analyze and present confidential data in a meaningful way.
Foundational AI knowledge and prioritization of automation implementation.
Experience managing data mapping and migration projects into new software.
Excellent time management and project management skills, balancing multiple competing priorities in a high‑pressure environment.
Full ownership of work products, driving to completion with minimal oversight and self‑review while delivering high‑quality results.
Strong written and verbal communication skills, with the ability to communicate complex concepts in a straightforward way.
Quick learning of the firm’s business and development of a solid understanding of internal practices and procedures.
To Qualify for This Role
Ability to interact with individuals at all levels within the firm while maintaining professionalism and confidentiality.
Experience with code of conduct ethics employee‑related investigations.
Experience with compliance and documentation.
Previous experience with case management systems.
Strong attention to detail, time management and prioritization skills, with a solid track record of managing multiple projects simultaneously.
Bachelor’s degree or equivalent work experience preferred.
7+ years of related work experience.
Experience working in or managing tracking software applications.
Ideally You’ll Also Have
Case management design experience.
What We Look For We are looking for individuals that have a strong business acumen and personal leadership. Experienced professionals who are strategic, collaborative and consultative and who can bring a fresh perspective will thrive in this environment.
What We Offer You
Comprehensive compensation and benefits package with base salary ranges varying by location.
World‑class experiences and a flexible environment.
Hybrid model with flexible vacation policy.
Wide range of paid time‑off options.
Apply Today Are you ready to shape your future with confidence? Apply today. EY accepts applications for this position on an on‑going basis.
Equal Employment Opportunity EY provides equal employment opportunities to applicants and employees without regard to race, color, religion, age, sex, sexual orientation, gender identity or expression, pregnancy, genetic information, national origin, protected veteran status, disability status or any other legally protected basis, including arrest and conviction records, in accordance with applicable law.
Reasonable Accommodation EY is committed to providing reasonable accommodation to qualified individuals with disabilities including veterans with disabilities. If you have a disability and either need assistance applying online or need to request an accommodation during any part of the application process, please call 1‑800‑EY‑HELP3, select Option 2 for candidate‑related inquiries, then select Option 1 for candidate queries and finally select Option 2 for candidates with an inquiry that will route you to EY’s Talent Shared Services Team (TSS) or email the TSS at ssc.customersupport@ey.com.
EY | Building a Better Working World EY is building a better working world by creating new value for clients, people, society and the planet, while building trust in capital markets. Enabled by data, AI and advanced technology, EY teams help clients shape the future with confidence and develop answers for the most pressing issues of today and tomorrow. EY teams work across a full spectrum of services in assurance, consulting, tax, strategy and transactions. Fueled by sector insights, a globally connected, multi‑disciplinary network and diverse ecosystem partners, EY can provide services in more than 150 countries and territories.
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EY focuses on high ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities.
The Opportunity The Ethics and Compliance Investigations Team (ECIT) is a high-performing, centralized team under Ethics, Compliance, and Risk Management (ECRM) that conducts and manages Code of Conduct related investigations. As an Investigations Operations Specialist in the ECIT, you’ll play an integral role in supporting our mission and operations and mitigating risk. In return, you’ll have the support of a network of highly knowledgeable colleagues and the opportunity to make a significant impact on your team and EY. With a diverse range of responsibilities, your strong organizational and analytical skills, understanding of our business and key stakeholders, self‑driven initiative, and keen eye for detail will be keys to success in this role.
Your Key Responsibilities
Conduct, perform quality control reviews and collate detailed reporting and analyses to identify and mitigate potential risks within the organization.
Monthly, quarterly and/or ad hoc reports regarding conduct matters, ensuring accuracy and timeliness.
Regular and ad hoc data analyses to support various firmwide stakeholders with insights on conduct matters within their teams.
Support required firm responses to regulatory data requests.
Maintenance of centralized case management system to ensure accurate and thorough records and monitor aging of matters and related reporting.
Conduct regular input and audits of the centralized case management system.
Maintain accurate and thorough case records for EY/Ethics Hotline matters.
Consult with global counterparts for EY/Ethics Hotline matters.
Perform thorough due diligence regarding personnel conduct history in advance of potential firm actions, including but not limited to performance separations and reductions in force.
Monitor the ECIT mailbox, routing emails to the appropriate recipient and ensuring timely responses.
Facilitate the provision of information concerning substantiated matters to firmwide stakeholders.
Establish best practices around reporting.
May make recommendations for training, awareness, communications and more.
May lead and/or participate in medium to large projects.
Share best practices and mentor others.
May supervise and/or mentor other team members.
May conduct investigation triage with input from key stakeholders.
You may also have opportunities to assist with the design, implementation and updating of workflow or documentation processes and analytic efforts.
Skills and Attributes for Success
Proficiency in Microsoft Office suite, with advanced skills in Excel.
Substantial experience working with a case management system or similar tracking systems; experience with Navex is a plus.
Ability to maintain the highest levels of confidentiality regarding personal data related to employee concerns and performance issues.
Ability to analyze and present confidential data in a meaningful way.
Foundational AI knowledge and prioritization of automation implementation.
Experience managing data mapping and migration projects into new software.
Excellent time management and project management skills, balancing multiple competing priorities in a high‑pressure environment.
Full ownership of work products, driving to completion with minimal oversight and self‑review while delivering high‑quality results.
Strong written and verbal communication skills, with the ability to communicate complex concepts in a straightforward way.
Quick learning of the firm’s business and development of a solid understanding of internal practices and procedures.
To Qualify for This Role
Ability to interact with individuals at all levels within the firm while maintaining professionalism and confidentiality.
Experience with code of conduct ethics employee‑related investigations.
Experience with compliance and documentation.
Previous experience with case management systems.
Strong attention to detail, time management and prioritization skills, with a solid track record of managing multiple projects simultaneously.
Bachelor’s degree or equivalent work experience preferred.
7+ years of related work experience.
Experience working in or managing tracking software applications.
Ideally You’ll Also Have
Case management design experience.
What We Look For We are looking for individuals that have a strong business acumen and personal leadership. Experienced professionals who are strategic, collaborative and consultative and who can bring a fresh perspective will thrive in this environment.
What We Offer You
Comprehensive compensation and benefits package with base salary ranges varying by location.
World‑class experiences and a flexible environment.
Hybrid model with flexible vacation policy.
Wide range of paid time‑off options.
Apply Today Are you ready to shape your future with confidence? Apply today. EY accepts applications for this position on an on‑going basis.
Equal Employment Opportunity EY provides equal employment opportunities to applicants and employees without regard to race, color, religion, age, sex, sexual orientation, gender identity or expression, pregnancy, genetic information, national origin, protected veteran status, disability status or any other legally protected basis, including arrest and conviction records, in accordance with applicable law.
Reasonable Accommodation EY is committed to providing reasonable accommodation to qualified individuals with disabilities including veterans with disabilities. If you have a disability and either need assistance applying online or need to request an accommodation during any part of the application process, please call 1‑800‑EY‑HELP3, select Option 2 for candidate‑related inquiries, then select Option 1 for candidate queries and finally select Option 2 for candidates with an inquiry that will route you to EY’s Talent Shared Services Team (TSS) or email the TSS at ssc.customersupport@ey.com.
EY | Building a Better Working World EY is building a better working world by creating new value for clients, people, society and the planet, while building trust in capital markets. Enabled by data, AI and advanced technology, EY teams help clients shape the future with confidence and develop answers for the most pressing issues of today and tomorrow. EY teams work across a full spectrum of services in assurance, consulting, tax, strategy and transactions. Fueled by sector insights, a globally connected, multi‑disciplinary network and diverse ecosystem partners, EY can provide services in more than 150 countries and territories.
#J-18808-Ljbffr