General Information
| Job Description | ETHICS AND CMPLNC PROFL 3 | Working Title | Investigator |
|---|---|---|---|
| Job Code | 006232 | Grade | 23 |
| Department Name | CCO Immediate Office - D01352 | Department Head | |
| Supervisor | Effective Date | 11/27/2018 |
Position(s) Directly Supervised
| Job Code | Title | FTE |
|---|
Generic Scope
| Experienced professional who knows how to apply theory and put it into practice with in-depth understanding of the professional field; independently performs the full range of responsibilities within the function; possesses broad job knowledge; analyzes problems/issues of diverse scope and determines solutions. |
Custom Scope
| Develops, implements and administers compliance policies, procedures and practices in one or more UC locations. Provides compliance advice, investigates complaints and verifies that deficiencies are corrected. Develops employee communication and training. Ensures alignment with federal and state laws, and University policies and procedures. May provide advice and direction to other compliance professionals, as appropriate. Normally receives general instructions on routine work with detailed instruction on new or more complex assignments. Performs the full scope of auditing encompassing financial compliance. |
Department Custom Scope
| Investigates complaints assigned by the Associate Vice Chancellor and Chief Compliance Officer. Understands and interprets complex policies and regulations governing staff, faculty, and students. Conducts investigations in compliance with Whistleblower and Whistleblower Protection policies, as well as Human Resources, Affirmative Action/Equal Opportunity, Title IX, Research, Athletics (NCAA Division I), Environmental Health & Safety, and other regulations and University policies. |
Education & Experience Requirements
Education Requirements
| Degree | Requirement |
|---|---|
| Bachelor's degree in related area and/or equivalent experience/training. | Required |
| Juris Doctorate (from ABA-accredited law school) or advanced degree in a related field. | Preferred |
Experience Requirements
| Experience | Requirement |
|---|
License Requirements
Certification Requirements
| Certification | Requirement |
|---|---|
| Professional certification(s) applicable to job responsibilities. | Preferred |
Educational Condition Requirements
| Condition | Requirement |
|---|
Key Responsibilities
| Description | % Time |
|---|---|
| Researches and analyzes issues, complaints and concerns at all levels of complexity. Implements courses of action according to established policies and procedures. | 5 |
Conducts moderate to complex investigations of suspected and reported violations of laws and policies. Makes probable cause determinations, presents findings to include assessment of potential liability and campus impact. Acts as liaison in joint investigations with other location resources.
|
60 |
| Assesses new complaints of potential policy violation and formulates response based on intake results, procured documentation and similar, historical patterns. | 10 |
| Proposes revisions in University policies to reflect changes in legislation, University philosophy, practice or guiding principles. | 5 |
Ensures that Ethics and Compliance reports are properly grouped and maintained in the appropriate database(s). Trains, advises and assists others in the use and maintenance of the database.
|
15 |
| Other duties as assigned. | 5 |
Knowledge, Skills & Abilities
| Knowledge/Skill/Ability | Requirement |
|---|---|
| Thorough knowledge of ethics and compliance profession, theories and systems of internal control, and professional compliance and investigations standards. | Required |
| Broad knowledge of University ethics and compliance policies, procedures and programs. | Preferred |
| Applies thorough ethics and compliance concepts and applications in the completion of assignments. Skills in problem-solving. | Required |
| Ability to gather, organize, complete analysis and develop recommendations in the completion of assignments. | Required |
| Strong interpersonal skills and ability to collaborate effectively with diverse groups. Skills in coalescing viewpoints and facilitating outcomes in group settings. | Required |
| Ability to present information in a clear and concise manner both in writing and verbally. | Required |
| Ability to work with diverse populations and to relate with sensitivity to trauma-impacted students, faculty, and staff. | Required |
| Knowledge of investigative skills and techniques. | Required |
Special Requirements & Conditions
| Special Condition | Requirement |
|---|---|
| Must be able to work extended hours and or weekends as needed. | Required |
| Must have the ability to travel to trainings, seminars, conferences and other work related activities as need. | Required |
Other Special Requirements & Conditions
|
Level of Supervision Received
| GeneralSupervision |
Environment
Working Environment
| Campus |
Other Requirements
Items Used
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Physical Requirements
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Mental Requirements
|
Environmental Requirements
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Critical Position
| Is Critical Position: No |