Compliance Investigator: Office of Investigation and Resolution-UTK

Reporting to the Deputy Director of the Office of Investigation & Resolution, this position is responsible for ensuring compliance with applicable state and federal laws/campus policies and promoting the ethical and responsible conduct of employees by executing impartial investigation processes in accordance with office procedures and university policy. Specifically, the Compliance Investigator receives, reviews, and/or investigates reports and complaints of misconduct, including discrimination and/or harassment, by a university employee; executes non-investigatory and/or administrative resolutions of reports and complaints, as appropriate; drafts investigation reports and monitors investigation timelines; and ensures comprehensive, thorough, and accurate records for all reports, complaints, investigations, and resolutions.

Complaint/Report Intake Review:

• Conducts intake reviews of reports or complaints that a university employee violated a campus policy, including a nondiscrimination or harassment policy, in collaboration with other compliance investigators;
• Sends acknowledgments of receipts of reports and schedules Intake Review meetings with Reporters and/or Complainants in a timely fashion;
• Manages day-to-day responsibilities associated with completing an Intake Review, including scheduling, interviewing, information gathering, and record keeping;
• Conducts thorough interviews and takes thorough and accurate notes;
• Engages in conversations that involve difficult and sensitive matters;
• Assesses the need for any Interim measures to promote safety and/or avoid continued noncompliance with campus policy;
• Connects parties and witnesses to available campus resources for support as necessary;
• Identifies appropriate outcome of the Intake Review (case closure, referral, or investigation) in collaboration with the Executive Director or other senior staff; and
• Distributes case closure and/or referral memoranda (including relevant appeals process information) as appropriate.

Complaint/Report Investigation:

• Manages day-to-day responsibilities associated with completing an investigation, including scheduling and interviewing parties and witnesses and gathering relevant evidence;
• Engages in conversations that involve difficult and sensitive matters;
• Assesses the need for any Interim measures to promote safety and/or avoid continued noncompliance with campus policy;
• Connects parties and witnesses to available campus resources for support as necessary;
• Drafts and distributes party statement review documents before completing investigative reports;
• Drafts comprehensive, accurate, and detailed reports, including references to relevant campus policy, findings of fact, and conclusions; and
• Connects parties and witnesses to available campus resources for support as necessary.

Complaint/Report Administration or Alternative Resolution:

• Assesses whether a non-investigatory and/or Alternative Resolution is an appropriate option for resolving a complaint or report;
• Assists in coordinating and/or executing non-investigatory actions including targeted education, professional development, training, or other administrative assistance; and
  Drafts and distributes appropriate documentation of non-investigative resolutions.

Case Management and Documentation:

• Maintains organized and complete electronic case files with appropriate documentation;
• Records appropriate case charges, findings, tags, and bases for closure in electronic case files to ensure accurate analytical reports and data summaries;
• Uses appropriate acknowledgment, scheduling, closure memo, statement review, and investigation report templates; and
• Reassigns cases to the Executive Director or other senior staff for closure.

Campus Leadership and Services:

• Represents the office on an ad hoc basis on various campus committees and in various campus standing meetings;
• Maintains productive and respectful relationships with campus partners and colleagues;
• Participates in continuing education and professional development; and
• Completes other duties as assigned.

Required Level/Type of Experience:

• 1 year of relevant experience or equivalent combination of education, training, and expertise.
• Masters or Terminal Degree

Preferred Level/Type of Experience:

• Juris Doctorate, Rule 31 Mediator, Higher Education Experience (Civil Rights, Title IX)

Competencies/Qualifications:

• Demonstrated experience/ability in conducting timely investigations (evaluating complaints/allegations, drafting notices and correspondence, interviewing, gathering evidence, developing a file, composing a professional investigative report, communicating effectively, updating databases);
• Master's, graduate, or terminal degree;
• Excellent verbal and written communication skills;
• Demonstrated experience/ability to determine and apply appropriate institutional policies;
• Demonstrated experience/ability to exercise discretion, superior judgment, analytical skills, and neutrality in highly sensitive situations;
• Knowledge and understanding of electronic records databases;
• Ability to manage time, obligations, and active caseload;
• Ability to function in a team environment (collaborate, contribute, take/receive direction and feedback); and
  Ability to maintain effective relationships with members of the University community.

Work Location

• Location: US-Tennessee-Knoxville
• Onsite with the option for one remote-work day per week

Compensation and Benefits

• UT market range: MR13
• Anticipated hiring range: 25th percentile of range (or commensurate with experience)

Application Instructions

To express interest, please submit an application with the noted below attachments.

• Resume
• Cover Letter
• List of 3 Professional References

References will not be contacted without explicit permission from candidates.

About The College/Department/Division

The mission of Campus Compliance Services (CCS), the central campus compliance unit for the University of Tennessee, Knoxville (UTK), is to provide support, coordination, and guidance to campus units engaged in university-wide efforts to comply with federal/state laws and university policies. In partnership with the UT System Audit & Compliance, CCS works to advance programs and practices that uphold the highest standards of ethical conduct for all who represent the university.

CCS includes the Office of Investigation & Resolution (OIR), a central UTK unit responsible for:

• Receiving, assessing, and investigating and/or otherwise resolving reports of violations of university policy in a prompt, thorough, and impartial manner;
• Advancing the university's commitment to providing a safe and welcoming living, learning, and working environment;
• Supporting university expectations for workplace behavior; and
• Facilitating compliance with:
• applicable federal law;
• applicable state law; and
• university policy, including campus equal employment opportunity and non-discrimination policies

The University of Tennessee, Knoxville, has shaped leaders, changemakers, and innovative thinkers since its founding in 1794. The university is home to more than 38,000 students and 10,000 statewide employees—the Volunteers—who uphold the university's tradition of lighting the way for others through leadership and service.

UT Knoxville offers over 900 programs of study across 14 degree-granting colleges and schools. As Tennessee's flagship land-grant university, its footprint spans the entire state. The university holds the highest Carnegie classification for research activity and has deep partnerships with industry leaders and the US Department of Energy's largest multidisciplinary laboratory, Oak Ridge National Laboratory.

The Knoxville campus serves and recruits for UT Knoxville, including the Institute of Agriculture and the Space Institute, as well as the UT Institute of Public Service.

UT Knoxville considers its employees its number one asset. With values that focus on work-life balance, compensation, and innovation leadership, all Vols are supported to advance professionally. Employees have access to career development and coaching, continued education, and an extensive list of development and training possibilities. The Volunteer employee experience implements structures and practices to attract and retain top-tier talent, fostering a strong staff community and supporting a culture of involvement and engagement for everyone.

The university holds a strong commitment to its land-grant mission of learning and engagement, with a tradition of service and leadership that carries that Volunteer spirit throughout the state and around the world. It has been ranked nationally as "Best Employer for New Graduates," "One of America's Best Large Employers," and "Best Workplace for Women," and has been designated as "Best Place for Working Parents" by Forbes Magazine.

Apply today and join the Tennessee Volunteer community