Associate Director, Compliance

About the role

The Associate Director, Compliance reports to the Assistant Vice President for Risk and Compliance at the University of Louisville. The primary role involves overseeing the university’s case management system of all incoming complaint allegations; leading and conducting investigations of reported allegations of misconduct that are in violation of university policy or procedure, including allegations of employee fiscal misconduct, fraud, waste, and abuse; collecting and maintaining thorough and accurate documentation; drafting reports on the results of the investigations; ensuring timely resolution of complaints; and educating the university about the duty to report and prohibiting retaliation policy and associated investigative procedures.

Responsibilities

• Manage, organize, and prioritize case files to ensure timely resolution of complaints.
• Conduct objective, fair, thorough, unbiased, and timely investigations into allegations of misconduct in accordance with the university’s investigation policies and procedures, including fiscal misconduct and fraud, waste, and abuse allegations.
• Obtain and evaluate evidence, including physical documents and electronic records, and conduct interviews with people of interest, witnesses, and subject matter experts.
• Communicate the results of the investigations through written reports with recommendations.
• Follow up on the completion of the recommendations, including validating effective implementation.
• Maintain accurate, thorough, and complete documentation for each complaint allegation within the case file.
• Serve as the system administrator for the university compliance hotline system and maintain and update the vendor contract and serve as point of contact with the vendor.
• Work with the Office of University Counsel, Human Resources, Office of Legal Compliance and Investigations, University Police, and others as determined necessary.
• Educate and provide training to investigative offices and others as needed across the university about the Duty to Report and Non-Retaliation Policy and associated procedures on Conducting University Investigations.
• Supervise senior compliance specialist with case management and investigative duties.
• Prepare and provide quarterly and annual reports of investigation statistics to the Assistant Vice President for Risk and Compliance.

Requirements

• Bachelor's degree in a related field and six (6) years of relevant experience or an equivalent combination of education and experience.
• Certified Compliance and Ethics Professional (CCEP) or certified within one year of employment.

Qualifications

• Bachelor's Degree from an accredited college or university, with a major in criminal justice, public administration, business or other relevant field.
• Direct experience leading and conducting investigations and issuing reports with the results of the investigations.
• Experience in supervising staff and presenting educational and/or training materials are required.
• Prior work experience in higher education and in conducting fiscal misconduct investigations.