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Ethics and Compliance Investigations Manager

The Ethics & Compliance Investigations Manager serves as a trusted internal consultant to employees and leaders on ethics-related issues, leads investigations of suspected and reported violations of company policy and the Code of Ethics, and promotes a culture of ethics and compliance across Assurant. This position will report to the Vice President, Ethics Office and work closely across the Ethics team, as well as internal partners in Legal, HR, and Compliance.

All responsibilities span the global Assurant enterprise

  • Lead and conduct ethics & compliance investigations, including developing investigation plan, collecting and analyzing evidence collaborating with internal partners, conducting interviews, and developing investigation report.
  • Provide oversight of and collaborate with international counterparts for ethics & compliance investigations outside the United States.
  • Maintain consistent, complete and organized case files utilizing Assurant’s ethics & compliance case management system.
  • Collaborate with internal stakeholders to ensure consistency in investigation process, outcomes, and remediation.
  • Manage, track and report on post-investigation remediation efforts.
  • Implement and manage retaliation monitoring program.
  • Serve as Assurant compliance representative in interactions with local, state and federal law enforcement related to ethics & compliance investigations.
  • Serve as mentor and trainer for internal ethics & compliance investigators to ensure best practices in investigative techniques.
  • Perform data analytics to identify patterns and trends, anomalies or systemic issues.
  • As a trusted internal consultant, provide guidance to employees seeking help with questions related to ethics & compliance policies, misconduct or the Code of Ethics.
  • Review regulatory requirements and incorporate those requirements into the development and advancement of investigation processes.
  • Ensure the validity and reliability of investigation data used to create dashboard statistics for reports to the Audit Committee, investigations oversight committee and other stakeholders.
  • Draft concise and insightful reports and PowerPoint decks for the Audit Committee, investigations oversight committee and other stakeholders. Assist VP in briefings to committee as needed.
  • Communicate insight into business or people risks to internal risk and compliance functions and as part of Compliance risk assessments.
  • Respond to information requests from external auditors and internal risk and compliance functions.
  • Develop business communications designed to inform relevant parts of the business of new or changed laws, regulations, cases or trends impacting investigations which might be applicable to their business line
  • Support other ethics & compliance initiatives, including ethics culture assessment, focus groups, and training and communications.
  • Monitor news and industry publications for new or changed laws, regulations, cases or trends impacting on investigations or risk for Assurant.

Basic Qualifications:

  • 10 years progressive work experience in planning, conducting and leading sensitive and complex investigations
  • Minimum five years’ experience in internal ethics and compliance or fraud investigations
  • Knowledge of the Foreign Corrupt Practices Act, UK Bribery Act, and Department of Justice expectations for an effective ethics & compliance program
  • Demonstrated project management skills including ability to plan and conduct multiple investigations simultaneously
  • Experience leading briefing conversations with executives, including c-suite.
  • Experience collaborating with and influencing colleagues across business functions and geographies.
  • Bachelor’s Degree or international equivalent.
  • CFE, CCEP, LPEC, or other advanced certification equivalent required.
  • Familiarity with technology used in the collection, preservation, and analysis of information for investigative purposes.

Other Requirements:

  • Demonstrated experience conducting virtual investigation interviews.
  • Ability to communicate effectively and with structured thinking, in writing and verbally, across all levels of the organization, including senior executives
  • Strong organizational, analytical and problem-solving skills
  • Attention to detail and the ability to work within a team and independently
  • Ability to work in a remote environment
  • Demonstrated excellent judgment, business acumen and professional demeanor
  • Ability to initiate, embrace and drive change in a dynamic environment
  • Ability to influence and create strong working relationships across the global organization.

Preferred:

  • Bi- or multi-lingual (Spanish, French, German, Italian, Portuguese, Chinese, Japanese, Korean)
  • Experience with working with case management software
  • Proficiency in the Microsoft Office Suite with specific emphasis in Word, Excel, PowerPoint

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