Principal Compliance Investigator

ETHICS AND CMPLNC PROFL 4 (006061)

UCPath Position ID: MI-DPT300000-JC006061-PD169347

Position Description History/Status

For Reference ONLY - PeopleAdmin JA Number:

1138539

Approved Date:

9/22/2025 12:17:30 PM

Date Last Edited:

9/22/2025 12:17:25 PM

Last Action Effective Date:

4/1/2023

Organization Details

Business Unit (Location):

LACMP

Organization Code:

6200O

Organization:

CHANCELLOR'S ORGANIZATION

Division Code:

6210D

Division:

CHANCELLOR'S ORGNZTN DIV

Department:

300000 - ADMINISTRATIVE POLICIES & COMPLIANCE

Position Details

UCPath Position Number:

MI-DPT300000-JC006061-PD169347

Position Description ID

169347

UC Payroll Title:

ETHICS AND CMPLNC PROFL 4 (006061)

Personnel Program

Management and Senior Professional (MSP)

Salary Grade:

Grade 25

Job Code FLSA:

Exempt

Union Code (Collective Bargaining Unit):

99: Non-Represented (PPSM)

Employee Relations Code:

F: All Others - Confidential

Employee Class (Appt Type):

2 - Staff: Career

Full-Time Equivalent (FTE)

1

SUPERVISION

UCPath Reports to Position Number:

40231933

Reports to Payroll Title:

ETHICS AND CMPLNC PROFL 4

UCPath Department Head Position Number:

40801424

Department Head Payroll Title:

ETHICS AND CMPLNC MGR 4

GENERAL SUPERVISION - Indicates that the incumbent develops procedures for performance of variety of duties; or performs complex duties within established policy guidelines.

POSITION SUMMARY

The Principal Compliance Investigator will be responsible for conducting thorough, professional, and timely investigations of allegations of suspected violations of local, state, or federal law and/or University policy as assigned by the Associate Vice Chancellor. This includes claims of whistleblower retaliation made by UCLA staff or faculty employees, students, and other allegations of improper governmental activities. The position will also be responsible for conducting confidential, sensitive, and timely investigations of faculty and other academic appointees who may have engaged in violations of University policies and/or academic personnel policies and guidelines. This includes, but is not limited to, claims of misconduct, such as workplace violence, bullying, and abusive conduct. Furthermore, the position will be responsible for investigating community complaints against UCLA Police Department sworn personnel. These responsibilities involve identifying compliance issues, scoping the investigation, and conducting fact-finding, recordkeeping, and report-writing efforts in accordance with University policy and best practice investigative standards. In carrying out these duties and responsibilities, the Principal Compliance Investigator will be required to interview a wide variety of staff and faculty employees, students, and other community and non-community members, and collaborate with other campus units including the Academic Policies & Personnel Office, the Academic Senate, Human Resources personnel, Office of Civil Rights personnel, University legal counsel, Health Science Compliance Office staff, Internal Auditors, and University Police, among others.

The UCLA Compliance Office is part of the Office of the Chancellor and provides guidance and oversight of the development, implementation and administration of a compliance program that is consistent with UC policies, procedures, ethical principals and core values.

Investigation

1. Conduct initial complaint intake, review and analyze new cases, and make recommendations orally or in writing to the Investigations Manager regarding the scope and possible next steps of the investigation.

2. Complete investigation through witness interviews, review of documentary and other evidence, and other necessary research.

3. Write an investigation report 1) summarizing the allegations, any response by the subject, and the substance of interviews conducted and evidence collected, 2) analyzing the information collected and making credibility assessments of witnesses, and 3) making findings and reaching conclusions based on the applicable evidentiary burden of proof.

70%

Investigation 2

4. At the request of the Investigations Manager and/or AssocVC/CCAO and consistent with policy, responding to information requests from the Public Safety Committee.

5. Participating, as needed, in ancillary proceedings at the conclusion of investigations.

20%

Compliance Coordination

 1. When directed by the AssocVC/CCAO, participate in meetings, projects, and other activities that involve 1)  monitoring and reporting on compliance activities, 2) evaluating compliance programs via trend analysis and data review, and 3) recommending and implementing policy, procedural, and other changes as needed. 

2. Be available to act in a backup capacity to other compliance staff, in their absence, as directed by the AssocVC/CCAO.

10%

•

Performs other duties as assigned.

•

Complies with all policies and standards.

•

Complies with the University of California, Los Angeles (UCLA) Principles of Community.

•

This position description is not intended to be a complete list of all responsibilities, duties or skills required for the job and is subject to review and change at any time, with or without notice, in accordance with the needs of the organization.

QUALIFICATIONS

Bachelor's Degree

College Degree or an equivalent combination of education and experience

Required

Other Type of Degree

A law degree with demonstrated excellent legal/analytical abilities

Preferred

5+

At least 5 years of experience in planning and conducting workplace and/or compliance investigations.

Required

5+

Demonstrated investigative and interviewing skills, with experience in researching and interpreting data.

Required

5+

Managing high profile investigations

Preferred

1+

Investigations involving alleged police misconduct.

Preferred

Law License or Compliance-related certifications, such as CHC, CHPC, CCEP, AWI-ch.

Preferred

Skill in communicating with tact, diplomacy, discretion, and professionalism with witnesses, whistle-blowers, and respondents.

Required

Excellent English writing and oral communication skills to communicate effectively with staff and academic employees at all campus organizational levels, including the ability to write comprehensive and legally defensible investigative reports concerning improper governmental activities.

Required

Strong emotional intelligence and conflict management skills.

Required

Demonstrated ability to synthesize information and interpret legal and policy requirements across the range of complex policy and compliance issues that may arise within the University.

Required

Knowledge of state and federal laws related to investigations, evidence, confidentiality, and whistle-blower reporting and retaliation matters.

Required

Demonstrated skill in conveying facts, analyses, conclusions and recommendations, orally and in writing, with an appropriate attention to detail but in a clear and concise manner.

Required

Ability to maintain and convey neutrality, independence and objectivity in all investigations.

Required

Ability to triage investigations, handle multiple assignments, and meet deadlines by effectively planning, organizing, and prioritizing among multiple concurrent investigative assignments.

Required

Strong computer and internet skills including proficiency in Microsoft applications, emphasizing Word, Excel, Access, and PowerPoint.

Required

Willing to travel to perform investigations and/or to attend University-sponsored training and conferences.

Required

Ability to maintain the confidentiality of sensitive work-related information and have strong attention to all work details and record keeping.

Required

Knowledge of trauma informed interview techniques and the Peace Officer's Bill of Rights.

Preferred

SPECIAL REQUIREMENTS AND/OR CONDITIONS OF EMPLOYMENT

Background Check: Continued employment is contingent upon the completion of a satisfactory background investigation.

5%

Travel may be required to perform investigations and/or to attend University-sponsored training and conferences.

LOCATION AND PHYSICAL, ENVIRONMENTAL, MENTAL (PEM) REQUIREMENTS

Environment and Work Location Information

Environment Type:

Non-Clinical Setting

Location Setting:

Other University Setting(s)

Location:

UCLA Wilshire Center Suite 700

•

General Office Equipment

Standing/Walking

X

Sitting

X

Bending/Stooping

X

Squatting/Kneeling

X

Climbing

X

Lifting/Carrying/Push/Pull 0-25 lbs

X

Lifting/Carrying/Push/Pull 26-50 lbs

X

Lifting/Carrying/Push/Pull over 50 lbs

X

Physical requirements other

X

Chemicals, dust, gases, or fumes

X

Loud noise levels

X

Marked changes in humidity or temperature

X

Microwave/Radiation

X

Operating motor vehicles and/or equipment

X

Exposures other

X

Sustained attention and concentration

X

X

Complex problem solving/reasoning

X

X

Ability to organize & prioritize

X

X

Communication skills

X

X

Numerical skills

X

X

Mental demands other

X

X

Classification 3:  Position in which exposure to blood, body fluids or tissues is not part of the position description. The normal routine task involves no exposure to blood, body fluids or tissues and the employee can decline to perform tasks which involve a perceived risk without retribution.