ECIT Quality, Professional Practice & Complex Investigations Director

Ethics and Compliance Investigations Team – 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 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 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 Director also will support the ECIT in other investigative matters and priorities, as needed. The 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 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 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

• Lead 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.
• Regularly consult with leaders and other colleagues in ECRM, Quality, GCO, Talent, and the business, as appropriate, regarding investigations and related programs and processes.
• 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 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

• 12+ years conducting investigations or other relevant experience, preferably with experience leading investigations at a professional services firm.
• Experience and awareness 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.
• Demonstrated ability to create, plan and successfully execute projects, and the ability to meet multiple deadlines in a fast-paced environment.
• 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.
• This position may require substantial hours, including working nights and weekends.
• 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.