ECIT Quality, Professional Practice & Complex Investigations Assistant Director

Ethics & Compliance Investigations Team – Assistant Director, Quality, Professional Practice & Complex Investigations

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.

The Opportunity

The Assistant Director will work as part of the centralized Ethics and Compliance Investigations Team (ECIT) to conduct and manage employee and partner/principal investigations involving quality, professional practice, and other complex issues or concerns across the firm. The Assistant Director also will support the ECIT in other investigative matters and priorities, as needed. The Assistant Director will work seamlessly with colleagues from Talent, the General Counsel’s Office (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.

Your key responsibilities

• Manage and conduct quality, professional practice, and other complex investigations and matters as assigned.
• Manage and conduct other investigations and matters handled by ECIT as needed.
• Lead interviews with all relevant persons.
• Maintain and track investigation and status in a centralized database.
• Follow documentation and reporting standards.
• Draft memorandum summarizing factual conclusions.
• Maintain strict confidentiality.
• Conduct detailed reporting and analysis to inform stakeholders and identify trends and root causes.
• May participate in intake analysis to determine appropriate disposition of inquiries.
• May present findings to firm leadership, as necessary.
• Make recommendations for trainings, 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.

Decision Making Responsibilities

You will be responsible for interpreting highly sensitive data related to quality, professional practice, and other complex investigations and matters. You will also assess situations to determine risk mitigation and escalate as necessary to appropriate parties (e.g., Ethics, Compliance and Risk Management (ECRM), GCO, or Talent). 

To qualify for this role, you must have

• 7+ years conducting investigations or other relevant experience, preferably with experience handling investigations at a professional services firm.
• Knowledge of applicable regulatory environment and requirements.
• Ability to analyze and synthesize high volumes of information to reach factual conclusions.
• Strong writing skills, including investigative summary memos or other legal documents.
• Strong interviewing skills.

• Ability to interact with individuals at all levels within the firm and maintain professionalism and confidentiality.

• Strong attention to detail, time management and prioritization skills, with solid track record of managing multiple projects/cases simultaneously.
• Ability to quickly learn the business of the firm.
• Ability to influence multiple constituents and engage in respectful dialogue in cases of disagreement.
• Solid networking skills and the ability to build relationships. 

• Excellent communication skills, oral and written, and an ability to convey complex facts, perspectives, and conclusions clearly to any audience; experience with legal writing preferred.
• Works independently on recurring projects but is not afraid to seek guidance or consult with colleagues for alternative views/suggestions.

Ideally, you’ll also have

• Advanced degree or equivalent work experience; attorney qualification/juris doctor (JD) preferred.
• Leadership Professional in Ethics and Compliance (LPEC) or Certified Compliance & Ethics Professional (CCEP) certification preferred.

What we look for

• We are looking for someone who has a deep understanding of the 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 regulatory environment.