General Information
| Job Description | ETHICS AND CMPLNC PROFL 4 | Working Title | Compliance & Civil Rights Investigator |
|---|---|---|---|
| Job Code | 006061 | Grade | 25 |
| Department Name | Fact Finding Office - D01351 | Department Head | Kiersten Boyce |
| Supervisor | Kiersten Boyce | Effective Date | 06/21/2021 |
Position(s) Directly Supervised
| Job Code | Title | FTE |
|---|
Generic Scope
| Technical leader with a high degree of knowledge in the overall field and recognized expertise in specific areas; problem-solving frequently requires analysis of unique issues/problems without precedent and/or structure. May manage programs that include formulating strategies and administering policies, processes, and resources; functions with a high degree of autonomy. |
Custom Scope
| Functions as a resource and leader in a compliance specialty program or multiple programs. Assists in ensuring the location has comprehensive processes for investigations, and coordinated responses for compliance program(s) within purview. Ensures alignment with federal and state laws, and University policies and procedures. Provides guidance to other compliance professionals. Normally receives high level oversight on assignments with general instruction provided on new or more complex compliance work. |
Department Custom Scope
| The Compliance and Civil Rights Investigator is key part of UC Riverside's Chief Compliance organization, which leads campus efforts to promote the UC Ethics & Compliance Program and to prevent and respond to discrimination and harassment. The investigator assesses and investigates whistleblower, discrimination, harassment and other complaints, under the direction of the Chief Compliance Officer & Locally Designated Official (LDO). 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, Title IX, Equal Opportunity & Affirmative Action, Research, Athletics (NCAA Division I), Environmental Health & Safety, and other regulations and University policies. The investigator reports directly to the Associate Vice Chancellor/Chief Compliance Officer (AVC/CCO), and supports the AVC/CCO in campus efforts to create an ethical culture including by promoting accountability and integrity. |
Education & Experience Requirements
Education Requirements
| Degree | Requirement |
|---|---|
| Bachelor's degree in related area and/or equivalent experience/training. | Required |
| Advanced degree in a related field or Juris Doctorate. | Preferred |
Experience Requirements
| Experience | Requirement |
|---|---|
| Minimum of 6-10 years of related experience. | Required |
| Significant experience in resolution of civil rights (Title VII, Title IX, ADA, etc) complaints. | Preferred |
| Experience investigating harassment or equivalently sensitive allegations in an empathetic and confidential matter. | Required |
License Requirements
Certification Requirements
| Certification | Requirement |
|---|---|
| Professional certification(s) applicable to job responsibilities. | Preferred |
| CCEP (Certified Compliance & Ethics Professional) | Preferred |
| AWI-CH (Association of Workplace Investigators Certificate Holder) | Preferred |
Educational Condition Requirements
| Condition | Requirement |
|---|
Key Responsibilities
| Description | % Time |
|---|---|
Conducts complex investigations of suspected and reported violations of laws and policies, including those with significant potential impact. Obtains legal opinions when appropriate to determine investigative activities. Liaison with investigators from other locations. Assists in structuring complex investigations, including identifying witnesses, policies, data resources and other evidence. Provides recommendations for resolution of issues.
|
70 |
| Develops methods and seeks opportunities to increase manager and staff awareness of ethics and compliance programs and associated processes. Attends staff meetings, creates website tools and communications, solicits feedback and creates and delivers training programs. | 5 |
| Responds to high profile complaints or concerns. Participates or convenes committees or task forces in regards to issues with little precedence, requiring expedient and diplomatic action. | 5 |
Develops proposals and convenes or participates on committees and task forces to implement critical coordinated response systems. Confers with OGC and other colleagues as needed, to strategize and create plans to mitigate or circumvent risk.
|
5 |
Keeps abreast of best practices in advanced investigation techniques, ensures alignment with University policy and investigates practices accordingly.
|
5 |
Develops recommendations for policy revisions, identifying the benefits and ramifications. May provide leadership in obtaining input from key constituencies.
|
5 |
Participates in the development of databases to efficiently house ethics and compliance information. Ensures quality controls are in place to maintain integrity of the system(s).
|
5 |
Knowledge, Skills & Abilities
| Knowledge/Skill/Ability | Requirement |
|---|---|
| Excellent analytical and problem solving skills. | Required |
| Is able to apply appropriate policies and practices in the completion of ethics and compliance assignments. Skills in critical decision making. | Required |
| Thorough understanding of the interrelationship of procedures and desired results. | Required |
| Excellent interpersonal and problem solving skills to work independently with all levels of University personnel, including management and faculty, and to facilitate agreement on issues and corrective actions. | Required |
| Demonstrated professionalism, discretion and judgement through sound decision-making to obtain solutions through collaborative efforts with a wide-variety of offices and departments. | Required |
| Ability to extract, verify, compile and develop recommendations related to ethics and compliance programs, issues, policies and procedures. | Required |
| Demonstrated critical thinking skills and ability to implement strategic policy recommendations. | Required |
| Ability work calmly under pressure and maintain excellent working relationships. | Required |
| In-depth abilities in collaboration, facilitation, and strategic and creative thinking. | Required |
| Ability to present complex issues in a clear and concise manner, both in writing and verbally for presentation or review by senior leadership. | Required |
| Comprehensive knowledge of state and federal laws and regulations, case law, and guidance related to: discrimination and harassment in the educational or employment setting, or of substantially similar laws and regulations; sexual harassment in the educational or employment setting, or of substantially similar laws and regulations. | Required |
| Demonstrated knowledge of best practices and methodologies for conducting investigations, including interviewing, gathering and analyzing evidence, and writing investigation reports. | Required |
| Experience investigating sexual harassment or equivalently sensitive allegations in an empathetic and confidential manner. | Required |
| Demonstrated skill, sensitivity and experience interacting with constituents who are diverse in characteristics such as age, education level, race, gender identity and expression, ability, and socioeconomic backgrounds in a culturally-competent manner. | Required |
| Demonstrated written and oral communication skills; skill building rapport in an open, friendly, and accepting way; attentive listener. | Required |
| Ability to gather and organize information, conduct analysis, and make recommendations on issues that are complex in nature; critical thinker. Ability to apply policy and legal concepts to issues. | Required |
| Broad and thorough knowledge of University ethics and compliance policies, procedures and programs. | Preferred |
| Advanced knowledge of the ethics and compliance profession, theories and systems of internal control, and professional compliance and investigations standards. | Preferred |
| Thorough knowledge of the complexities of sexual harassment, including sexual violence, in the educational or employment setting. | Preferred |
| Basic understanding of the relevance of trauma in the context of complaint resolution (for example, the neurobiology of trauma and trauma-informed investigation techniques). | Preferred |
Special Requirements & Conditions
| Special Condition | Requirement |
|---|---|
| Must be able to work extended hours and or weekends as needed. | Required |
| Ability to ocassionally travel to trainings, seminars, conferences and other work related activities as needed. | Preferred |
Other Special Requirements & Conditions
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Level of Supervision Received
| Direction |
Environment
Working Environment
| Campus |
Other Requirements
Items Used
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Physical Requirements
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Mental Requirements
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Environmental Requirements
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Critical Position
| Is Critical Position: Yes |