Director Quality & Risk Management

Overview

Location : Philadelphia, McLean, Washington

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Director Quality & Risk Management

Working with leadership in Talent, Service Lines, Industry Groups, and Core Business Services (CBS), including the General Counsel’s Office (GCO), the director will lead and oversee investigations involving quality and professional practice-related matters as part of the US Ethics & Compliance Investigations Team (ECIT).

The Opportunity

The director will be responsible for leading and overseeing complex employee and partner / principal issues or concerns involving quality and professional practice-related matters 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 Servlcie 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 analysis of matters for risk mitigation, including awareness building communications, related training plans, policy clarifiations, and controls. In addition, the director will work with colleagues in Ethics, Compliance and Risk Management (ECRM) to conduct case analyses, identify trends, and provide recommendations for continuous improvement with ongoing compliance.

Your key responsibilities

Lead and oversee quality and professional practice-related investigations and matters, including drafting and editing case summaries, and reviewing conclusions and findings for accuracy and consistency.

Create and develop processes and protocols governing quality and professional practice-related investigations, ensuring consistency, fairness, trust, completeness, efficiency, and respect.

Develop and maintain relationships with Service Line Quality, Professional Practice, GCO, other key business stakeholders, Talent Leaders, and Talent Employee Relations Team.

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

Make recommendations regarding plans and initiatives to prevent violations and address root causes.

Assist ECIT as needed in other investigative matters and priorities, including handling investigations, enhancing processes, and advancing remediation and root cause efforts.

Manage, develop, and evaluate investigators handling quality and professional practice-related matters, communicating clear performance goals, offering regular performance feedback and prompt resolution of issues, and provide investigators the time and opportunity to grow and develop in key competency areas.

Develop, implement and measure key performance indicators in quality and professional practice-related investigations to measure overall effectiveness of team in achieving strategic priorities.

Review performance outcomes, provide feedback, and manage retention of investigations team members.

Assess and implement development opportunities for the team to build subject matter expertise.

Stay current on laws, standards, guidance 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.

Support US Ethics & Compliance Investigations Leader as needed.

Significant level of autonomy in making difficult and often nuanced deisions involving investigative matters.

Decisions and execution of role could impact financial results, branding, and reputation of firm and profession.

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.

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 communications skills, oral and written, using a consultative approach, 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 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 the consultative approach towards internal clients and stakeholders with proven ability to influence others and build strong relationships.

Ethics & Compliance program experience preferred.

Operates independently with broad decision-making authority in significant matters.

Oversees team conducting quality and professional practice-related matters.

Regularly briefs US Ethics & Compliance Investigations Leader and other leaders in ECRM, GCO, and the business.

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; 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

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

What we offer you

At EY, we’ll develop you with future-focused skills and equip you with world-class experiences. We’ll empower you in a flexible environment, and fuel you and your extraordinary talents in a diverse and inclusive culture of globally connected teams. Learn more .

We offer a comprehensive compensation and benefits package where you’ll be rewarded based on your performance and recognized for the value you bring to the business. The base salary range for this job in all geographic locations in the US is $189,300 to $374,800. The base salary range for New York City Metro Area, Washington State and California (excluding Sacramento) is $227,100 to $425,900. Individual salaries within those ranges are determined through a wide variety of factors including but not limited to education, experience, knowledge, skills and geography. In addition, our Total Rewards package includes medical and dental coverage, pension and 401(k) plans, and a wide range of paid time off options.

Join us in our team-led and leader-enabled hybrid model. Our expectation is for most people in external, client serving roles to work together in person 40-60% of the time over the course of an engagement, project or year.

Under our flexible vacation policy, you’ll decide how much vacation time you need based on your own personal circumstances. You’ll also be granted time off for designated EY Paid Holidays, Winter / Summer breaks, Personal / Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.

Are you ready to shape your future with confidence? Apply today.

EY accepts applications for this position on an on-going basis.

For those living in California, please click here for additional information.

EY focuses on high-ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities.

EY | Building a better working world

EY is building a better working world by creating new value for clients, people, society and the planet, while building trust in capital markets.

Enabled by data, AI and advanced technology, EY teams help clients shape the future with confidence and develop answers for the most pressing issues of today and tomorrow.

EY teams work across a full spectrum of services in assurance, consulting, tax, strategy and transactions. Fueled by sector insights, a globally connected, multi-disciplinary network and diverse ecosystem partners, EY teams can provide services in more than 150 countries and territories.

EY provides equal employment opportunities to applicants and employees without regard to race, color, religion, age, sex, sexual orientation, gender identity / expression, pregnancy, genetic information, national origin, protected veteran status, disability status, or any other legally protected basis, including arrest and conviction records, in accordance with applicable law.

EY is committed to providing reasonable accommodation to qualified individuals with disabilities including veterans with disabilities. If you have a disability and either need assistance applying online or need to request an accommodation during any part of the application process, please call 1-800-EY-HELP3, select Option 2 for candidate related inquiries, then select Option 1 for candidate queries and finally select Option 2 for candidates with an inquiry which will route you to EY’s Talent Shared Services Team (TSS) or email the TSS at ssc.customersupport@ey.com .

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