Ethics and Compliance Professional 3 (6232U), Ethics, Risk & Compliance Svcs - #72391

At the University of California, Berkeley, we are committed to creating a community that fosters equity of experience and opportunity, and ensures that students, faculty, and staff of all backgrounds feel safe, welcome and included. Our culture of openness, freedom and belonging make it a special place for students, faculty and staff.

The University of California, Berkeley, is one of the world's leading institutions of higher education, distinguished by its combination of internationally recognized academic and research excellence; the transformative opportunity it provides to a large and diverse student body; its public mission and commitment to equity and social justice; and its roots in the California experience, animated by such values as innovation, questioning the status quo, and respect for the environment and nature. Since its founding in 1868, Berkeley has fueled a perpetual renaissance, generating unparalleled intellectual, economic and social value in California, the United States and the world.

We are looking for equity-minded applicants who represent the full diversity of California and who demonstrate a sensitivity to and understanding of the diverse academic, socioeconomic, cultural, disability, gender identity, sexual orientation, and ethnic backgrounds present in our community. When you join the team at Berkeley, you can expect to be part of an inclusive, innovative and equity-focused community that approaches higher education as a matter of social justice that requires broad collaboration among faculty, staff, students and community partners. In deciding whether to apply for a position at Berkeley, you are strongly encouraged to consider whether your values align with our Guiding Values and Principles, our Principles of Community, and our Strategic Plan.

At UC Berkeley, we believe that learning is a fundamental part of working, and our goal is for everyone on the Berkeley campus to feel supported and equipped to realize their full potential. We actively support this by providing all of our staff employees with at least 80 hours (10 days) of paid time per year to engage in professional development activities. To find out more about how you can grow your career at UC Berkeley, visit grow.berkeley.edu.

Departmental Overview

UC Berkeley's Office for the Prevention of Harassment and Discrimination (OPHD) is committed to fostering a campus climate in which members of our community are protected from all forms of discrimination and harassment on the basis of protected categories, including race, color, national origin, religion, sex, gender, gender expression, gender identity, gender transition status, pregnancy, physical or mental disability, medical condition (cancer-related or genetic characteristics), genetic information (including family medical history), ancestry, marital status, age, sexual orientation, citizenship, or service in the uniformed services, including protected veterans, as well as sexual harassment, sexual violence, and gender-based harassment and discrimination. OPHD monitors compliance with nondiscrimination policies, implements complaint resolution processes, and helps campus departments pursue best practices for fostering a discrimination-free climate for learning, researching and doing administrative work.

OPHD's work emphasizes a commitment to safety, fairness, due process, and trauma-informed practices.

Position Summary

Involves oversight of the key compliance related activities affecting the ongoing establishment and maintenance of a culture of safety, non-discrimination, and acceptance at the University of California. Includes compliance governance, policies and procedures, training and education, communication and reporting, internal monitoring, and auditing. Recommends response, prevention, and disciplinary standards for compliance issues. Ensures alignment with applicable laws and ethical standards of the organization. Activities include complaint investigations of potential allegations of improper behavior, abusive conduct, "whistleblowing," and improper government activities.

Application Review Date

The First Review Date for this job is: 09/12/2024.

Responsibilities

Conduct complex investigations of suspected and reported violations of laws and policies, including those with significant potential impact, involving UCB staff, academic appointees, students, other community members, and applicants.

• Obtain legal opinions when appropriate to determine investigative activities.
• Assist in structuring investigations, including identifying witnesses, policies, data resources, and other evidence.
• Provide recommendations for resolution of issues that come up in the course of investigation.
• Produce summary of findings reports of complaints brought forward under the UC Sexual Violence and Sexual Harassment Policy, other applicable nondiscrimination policies, the abusive conduct policy, and other policies as assigned to the office's purview.
• Write and compile detailed, organized, well-reasoned, and supported investigative and other inquiry reports to document the factual findings and outcomes of investigations.
• Consult with adjudication review bodies, Chancellor's designate reviewers, and participate in disciplinary hearing processes as appropriate.
• Act as a liaison in joint investigations with other location resources.
• Participate in litigation processes as appropriate, e.g., consultations with litigation defense teams and deposition or court testimony.

Assist the Associate Director of Investigations with onboarding new Complaint Resolution Officers and assist in onboarding new office team members.

• If needed, on a rotational basis, assist the Associate Director of Intake and Alternative Resolution (AD of IAR) with intake and receiving and responding to reports made to the office as well as conducting Alternative Resolutions and other response options.
• If appropriate, and in partnership with the AD of IAR, determine the need or opportunity for alternative resolution strategies to resolve complaints of SVSH, and/or other types of discrimination and harassment, abusive conduct, and any other types of prohibited conduct assigned to the office for response and/or resolution.
• Provide guidance to Complaint Resolution Officers on the same.
• These cases involve the same experience and judgment with regard to risk management, expert knowledge of applicable policies and laws, attention to detailed communication and documentation, and expert communication skills as that required for formal investigations with policy findings.
• Alternative resolutions are often delicate and complex processes requiring careful planning and monitoring.
• Implement courses of action according to established policies and procedures.

OPHD operational projects:

• Represent UCB on campus and system-wide committees.
• Keep informed of best practices in investigation techniques, ensure alignment with University policy and investigate practices accordingly.
• Collaborate with campus partners in campus education programs focusing on SVSH response and prevention, nondiscrimination matters, as well as other policies and topic matter as designated to the office.
• Develop content for the office's communications (both internal- and external-facing resources).
• Is a resource for relevant federal and state laws, University policies, local procedures, department case history, and political environments.
• Attend staff meetings, create communications in partnership with the office, solicit feedback and create and deliver training programs.

Other duties as assigned.

Required Qualifications

• Is able to apply appropriate policies and practices in the completion of ethics and compliance assignments.
• Skills in critical decision making.
• Ability to apply the policies and practices and employ critical decision making in conducting all investigations and in a timely, thorough and impartial manner.
• Ability to extract, verify, compile and develop recommendations related to ethics and compliance programs, issues, policies and procedures.
• In-depth abilities in collaboration, facilitation, and strategic and creative thinking.
• Thorough understanding of the interrelationship of procedures and desired results.
• Excellent interpersonal and problem-solving skills to work independently with all levels of University personnel, including management and faculty, and to facilitate agreement on issues and corrective actions.
• An extension of these skills to effect partnership and team support in working well with colleagues within the department.
• Ability to present complex issues in a clear and concise manner, both in writing and verbally for presentation or review by senior leadership.
• Attention to detail in the preparation of investigation reports, draft statements, evidence review summaries, email communications as well as any other outward-facing document or communication.
• Incumbent has demonstrated high standards of integrity and confidentiality.
• Bachelor's degree in related area and/or equivalent experience/training.

Preferred Qualifications

• Working knowledge of the ethics and compliance profession, theories and systems of internal control, and professional compliance and investigations standards.
• Continuous acquisition of training and skills to maintain such advanced knowledge.
• Broad and thorough knowledge of University ethics and compliance policies, procedures and programs as well as awareness and application of developing legal case law and legislation as consistent with systemwide direction on those points.
• Ability to develop and deliver training on the ethics and compliance policies and procedures related to this position and program and to do so in a clear, concise and neutral manner.
• Professional certification(s) applicable to job responsibilities.

Salary & Benefits

This is a 2yr, full-time (40 hours/week), contract appointment, eligible for UC benefits with the possibility of extension with continued funding. This is a monthly paid, exempt position.

For information on the comprehensive benefits package offered by the University, please visit the University of California's Compensation & Benefits website.

Under California law, the University of California, Berkeley is required to provide a reasonable estimate of the compensation range for this role and should not offer a salary outside of the range posted in this job announcement. This range takes into account the wide range of factors that are considered in making compensation decisions including but not limited to experience, skills, knowledge, abilities, education, licensure and certifications, analysis of internal equity, and other business and organizational needs. It is not typical for an individual to be offered a salary at or near the top of the range for a position. Salary offers are determined based on final candidate qualifications and experience.

The budgeted annual salary that the University reasonably expects to pay for this position is $110,000.00 - $130,000.00.

How to Apply

• To apply, please submit your resume and cover letter.

Other Information

• This is not a visa opportunity.

Conviction History Background

This is a designated position requiring fingerprinting and a background check due to the nature of the job responsibilities. Berkeley does hire people with conviction histories and reviews information received in the context of the job responsibilities. The University reserves the right to make employment contingent upon successful completion of the background check.

Mandated Reporter

This position has been identified as a Mandated Reporter required to report the observed or suspected abuse or neglect of children, dependent adults, or elders to designated law enforcement or social service agencies. We reserve the right to make employment contingent upon completion of signed statements acknowledging the responsibilities of a Mandated Reporter.

Equal Employment Opportunity

The University of California is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. For more information about your rights as an applicant, please see the U.S. Equal Employment Opportunity Commission poster.

The University of California's Affirmative action policy.

The University of California's Anti-Discrimination policy.