Compliance Case Manager

JOB SUMMARY

The Compliance Case Manager provides confidential administrative, programmatic, and case-management support to the Office of University Compliance. Reporting to the Senior Associate Director of Investigations, this position supports the University’s compliance and reporting framework by managing report intake, coordinating case referrals, maintaining accurate case files, and assisting with investigative processes. The Compliance Case Manager has access to confidential information that may impact employees across all unions and leadership, requiring objectivity and discretion in the handling of information.

The role combines operational and administrative support with case management responsibilities, ensuring concerns submitted to the Office of University Compliance are reviewed, documented and referred appropriately. The Compliance Case Manager also supports the broader compliance program, as needed.

DUTIES AND RESPONSIBILITIES

Intake and Assessment

• Provide information and education on the reporting process, potential resolution pathways, and referral options; respond to questions to ensure individuals are informed about possible next steps.
• Receive and review reported concerns directed to University Compliance to determine the chief issues and concerns and potential applicable policy.
• Conduct neutral intake meetings for initial fact‑gathering to clarify allegations and determine jurisdiction and scope while maintaining privacy.

Coordination, Communication, and Documentation

• Assist with referring reported concerns to the appropriate individuals or offices (HR, OICR, University Safety, Community Standards, management, etc.).
• Serve as the central point of coordination throughout the case management lifecycle for referred matters, ensuring timely status updates and documentation.
• Communicate regularly with parties to acknowledge receipt, request additional information, clarify next steps, and provide status updates, as appropriate.
• Assist with gathering, documenting, and organizing documentation and evidence.
• Support investigators with preparing for and conducting investigative interviews.
• Document all assignments and referrals clearly and accurately in the EthicsPoint system and ensure the case file is accurate and updated; assist with monitoring case progress and provide regular updates to support timely resolution.
• Prepare written case closure documentation in line with departmental standards to ensure appropriate resolution of referred cases.

Quality and Continuous Improvement

• Identify trends or recurring issues and escalate to the Senior Associate Director as appropriate.
• Participate in the periodic review of relevant procedures and guidance documents and recommend improvements to enhance efficiency, effectiveness, and consistency.
• Conduct quarterly monitoring of the Reportline system to ensure it is working accurately and in compliance with the contract; provide feedback to the vendor, as needed.

Administrative and Programmatic Support

• Provide confidential administrative support, including scheduling meetings, managing communications, and coordinating workflow.
• Monitor departmental email accounts and respond to general inquiries.
• Maintain and update departmental records, databases, and digital platforms.
• Provide administrative support for internal and external meetings, including documenting meeting summaries and tracking follow-up actions.
• Review, edit, and disseminate reports, correspondence, and communications on behalf of the office.
• Perform other duties as assigned.

MINIMUM QUALIFICATIONS

• Bachelor’s degree and three years of professional experience in case management, compliance administration, investigative support, or related professional roles; or an equivalent combination of education and experience.
• Demonstrated experience managing multiple priorities and working autonomously while maintaining accuracy and attention to detail.
• Written and verbal communication skills with specific attention to detail.
• Demonstrated experience with Microsoft Office Suite (i.e., Word, Excel, Outlook) and experience learning new software systems and databases.
• Demonstrated professional judgment with experience assessing issues and prioritizing work effectively.

PREFERRED QUALIFICATIONS

• Experience working in higher education
• Experience using electronic case management systems such as EthicsPoint or similar reporting platforms.
• Experience supporting or conducting investigations.
• Experience working with university administrative systems (e.g., KFS, CoreCT, HuskyBuy).

APPOINTMENT TERMS

The salary range for this position is $73,000 to $80,000. Salary will be commensurate with the candidate's background and experience. This position is a full-time, permanent position. The University offers a competitive salary, outstanding benefits including employee and dependent tuition waivers at UConn, and a highly desirable work environment. For additional information regarding benefits, visit: https://hr.uconn.edu/health-benefits/.