Ethics and Compliance Investigations Operations Specialist - Assistant Director

Ethics and Compliance Investigations Operations Specialist – Assistant Director

Location:

Anywhere in Country

The Ethics and Compliance Investigations Team (ECIT) is a high‑performing, centralized team within Ethics, Compliance, and Risk Management that conducts and manages Code of Conduct related investigations. The ECIT helps mitigate risk and supports the firm’s ethical standards.

As an Investigations Operations Specialist in the ECIT, you will support our mission and operations, maintain high quality and timeliness, and serve as a key contributor to the firm’s risk management efforts.

• Conduct quality control reviews and collate detailed reporting and analyses to identify and mitigate potential risks within the organization.
• Create monthly, quarterly, or ad‑hoc reports regarding conduct matters, ensuring accuracy and timeliness.
• Perform regular data analyses to support firm‑wide stakeholders with insights on conduct matters.
• Support the firm’s responses to regulatory data requests.
• Maintain a centralized case management system to ensure accurate and thorough records and monitor aging of matters.
• Conduct regular input and audits of the centralized case management system.
• Maintain accurate case records for EY/Ethics Hotline matters and consult with global counterparts for these matters.
• Perform due diligence on personnel conduct history before potential firm actions such as performance separations and reductions in force.
• Monitor the ECIT mailbox, routing emails to the appropriate recipient, and ensuring timely responses.
• Facilitate the provision of information concerning substantiated matters to firm‑wide stakeholders.
• Establish best practices around reporting.
• Make recommendations for training, awareness, communications, and other initiatives.
• Lead or participate in medium to large projects.
• Share best practices and mentor others.
• Supervise and/or mentor team members as needed.
• Conduct investigation triage with input from key stakeholders.
• Assist with the design, implementation, and updating of workflow, documentation processes, and analytic efforts.

• Proficiency in the Microsoft Office suite, especially advanced Excel.
• Substantial experience with case management systems (Navex experience is a plus).
• Highest level of confidentiality regarding personal data related to employee concerns and performance issues.
• Ability to analyze and present confidential data meaningfully.
• Foundational AI knowledge and a focus on automation.
• Experience managing data migration projects into new software.
• Excellent time management and project‑management skills in a high‑pressure environment.
• Self‑review and ownership of work products, delivering high‑quality results.
• Strong written and verbal communication skills with the ability to convey complex concepts simply.
• Quick learner of the firm’s business and internal procedures.

• Ability to interact with individuals at all levels within the firm with professionalism and confidentiality.
• Experience with code‑of‑conduct and employee‑related investigations.
• Experience with compliance and documentation.
• Previous experience with case management systems.
• Strong attention to detail, time management, and prioritization with a track record of multitasking.
• Bachelor’s degree or equivalent work experience preferred.
• 7+ years of related work experience.
• Experience managing tracking software applications.

• Experience in case‑management system design.

We are looking for individuals who possess strong business acumen, personal leadership, strategic thinking, collaboration, and consultation, and who bring a fresh perspective to our team.

At EY we develop you with future‑focused skills and equip you with world‑class experiences in a flexible and inclusive environment.

• Comprehensive compensation and benefits package with base salary ranging from $96,300 to $180,100 in the U.S. and $115,600 to $204,600 in the New York City metro, Washington State, and California (excluding Sacramento). Individual salaries are determined by various factors including…