Compliance Specialist

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. At EY, you’ll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we’re counting on your unique voice and perspective to help EY become even better, too. Join us and build an exceptional experience for yourself, and a better working world for all. EY focuses on high ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities. Ethics and Compliance Investigations Team-Investigations Operations and Risk Specialist – Senior Associate Job Description The Ethics and Compliance Investigations Team (ECIT) is a high-performing, centralized team within Ethics, Compliance, and Risk Management (ECRM) that conducts and manages Code of Conduct-related investigations. As an Investigations Operations and Risk Specialist in ECIT, you will play an integral role in supporting investigation operations, strengthening governance and compliance practices, maintaining data integrity, and helping mitigate operational, compliance, and regulatory risk. This role supports the systems, processes, data, and quality controls that enable ECIT to operate effectively and consistently across sensitive and confidential matters. You will work closely with investigators, business stakeholders, and global counterparts to support case management operations, reporting needs, and process improvement efforts. With a diverse range of responsibilities, your organizational and analytical skills, sound judgment, understanding of sensitive data, and attention to detail will be critical for success. This role requires relevant experience managing a centralized case management system, applying quality control practices, and delivering timely, accurate, and high-quality work product. You will: Maintain the centralized case management system to ensure accurate, complete, and timely records, and support matter aging oversight; Enable reliable reporting, governance, and risk management activities, including but not limited to: Perform regular updates, audits, and quality checks of the centralized case management system; Maintain accurate and thorough case records for reported matters; Liaise with global counterparts to support consistent handling, tracking, and documentation of reported matters; and Conduct quality control reviews of case management files to support data integrity, confidentiality, and compliance. Perform thorough due diligence regarding personnel conduct history in advance of potential Firm actions, including performance separations and reductions in force, while maintaining appropriate confidentiality and data-handling standards. Manage the ECIT SharePoint site to ensure policies, protocols, templates, procedures, and governance materials remain current, accessible, and appropriately maintained. Establish and promote best practices around reporting, metrics and dashboard creation, record-keeping, data quality, documentation standards, and quality control reviews. Support the design, implementation, and enhancement of workflows, documentation processes, compliance activities, analytics, and operational controls that improve consistency, efficiency, and risk mitigation. Prepare and maintain process guidance, templates, and operational and control documentation that support consistent execution of ECIT protocols. Support governance, data protection, and operational risk-management efforts by identifying process gaps, recommending improvements, and helping implement sustainable solutions. Knowledge And Skills Requirements You have substantial experience working with case management systems, tracking platforms, or similar technology environments. Specific experience with NAVEX and/or Case IQ is a plus. You maintain the highest levels of confidentiality when handling sensitive personal data, employee concerns, investigation-related information, and performance-related matters. You can analyze data, identify trends or risks, and present information in a clear, concise, and meaningful way to support decision-making and risk mitigation. You have excellent time management and project management skills, with experience independently balancing multiple and competing priorities in a fast-paced and confidential environment. You take full ownership of work products and projects, driving them to completion with minimal oversight while delivering high-quality, accurate, and timely results. You have strong written and verbal communication skills, and the ability to communicate complex operational, compliance, and risk-related information in a clear, concise, and straightforward manner. You work effectively with senior stakeholders and global counterparts, exercising sound judgment and professionalism. You have experience with internal investigations, ethics and compliance, data governance, data migration, privacy, regulatory compliance, operational controls, and/or risk mitigation. You support change management efforts, including stakeholder communications, user guidance, training materials, and adoption tracking. You are proficient in Microsoft Office Suite and advanced in Excel, with the ability to manage, analyze, and present complex and confidential data accurately. To qualify for this role, you must have: Bachelor’s degree or equivalent work experience preferred. 3+ years related work experience in ethics and compliance, investigations operations, privacy, data governance, risk management, legal, human resources, or a similar function. Experience working in or managing case management systems, tracking software applications, or similar technology platforms. Privacy, compliance, data governance, project management, or risk-related certifications are helpful but not required. What We Look For We are looking for individuals who are proactive, relationship-oriented, highly organized, and results-driven, with strong business acumen and sound judgment. Successful candidates will be comfortable working with sensitive information, supporting stakeholders across functions and geographies, and identifying opportunities to improve processes, data analysis, governance, and operational controls. Experienced professionals who are collaborative, consultative, detail-oriented, and able to bring a fresh perspective to complex operational and compliance challenges will thrive in this environment. What We Offer We offer a competitive compensation package where you will be rewarded based on your performance and recognized for the value you bring to our business. 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. Under our flexible vacation policy, you will decide how much vacation time you need based on your own personal circumstances, if it aligns with business needs/expectations. You will 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. The exceptional EY experience. It’s yours to build. What We Offer You At 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 $67,900 to $123,300. The base salary range for New York City Metro Area, Washington State and California (excluding Sacramento) is $81,500 to $140,100. 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. 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. #J-18808-Ljbffr