ECIT Quality, Professional Practice & Complex Investigations Associate Director

Location: Anywhere in Country At EY, we’re all in to shape your future with confidence. We’ll help you succeed in a globally connected powerhouse of diverse teams and take your career wherever you want it to go. Join EY and help to build a better working world. Ethics and Compliance Investigations Team – Associate Director, Quality, Professional Practice & Complex Investigations 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 Opportunity 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. Your key 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. To qualify for the role, you must have 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. Ideally, you’ll also have 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. What we look for Someone with a deep understanding of a consultative approach towards internal clients and stakeholders with proven ability to influence others and build strong relationships. Solid understanding of internal practices and procedures. Ethics & Compliance and/or Risk Management experience and focus. Experience/awareness of relevant regulatory environment. What we offer youAt EY, we’ll develop you with future-focused skills and equip you with world-class experiences. We’ll empower you in a flexible environment, and fuel you and your extraordinary talents in a diverse and inclusive culture of globally connected teams. Learn more. 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. Join us in our team-led and leader-enabled hybrid model. Our expectation is for most people in external, client serving roles to work together in person 40-60% of the time over the course of an engagement, project or year. 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. Are you ready to shape your future with confidence? Apply today. EY accepts applications for this position on an on-going basis. For those living in California, please click here for additional information. EY focuses on high-ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities. 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 teams can provide services in more than 150 countries and territories. EY provides equal employment opportunities to applicants and employees without regard to race, color, religion, age, sex, sexual orientation, gender identity/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. 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 which will route you to EY’s Talent Shared Services Team (TSS) or email the TSS at View email address on click.appcast.io.