Compliance Analyst - Case Management & Investigations

Position Summary

The Case Management and Investigations Analyst will assist the North American (“NA”) Regional Chief Compliance Officer (“RCCO”), the NA Ethics & Compliance (E&C) Case Management and Investigations Manager (“CMIM”), and the NA E&C Team with  . . . that supports and advances the mission, plan, strategic initiatives, and operational priorities of ethics and compliance within Toyota Industries North America (TINA), and among the NA and South American group companies of Toyota Industries Corporation (TICO).  The Case Management and Investigations Analyst supports NA E&C program by administering case management processes, supporting investigations, analyzing compliance data, and promoting a strong speak-up culture across the organization. This position reports directly to the North America Case Management and Investigations Manager and operates as an individual contributor within the Ethics and Compliance team. As a direct report of the CMIM, the individual in this role will support the advancement and sustainability of the NA E&C case management and investigations framework, operations and administration of the NA Helpline including reporting on metrics, data analytics, and other KPIs/KPRs, advancement of the Compliance Ambassador program, and support for all compliance-related investigations (whether raised via the Helpline, a walk-in, or otherwise).  lead the design and implementation of an effective risk-based ethics and compliance program, supported by a team of ethics and compliance professionals, to help support and drive a strong culture of ethics and compliance within TMHNA.  The ideal candidate will possess strong familiarity and experience working with case management systems (e.g., NAVEX EthicsPoint, etc.), investigative procedures, attention to detail, the ability to work with other collaboratively including internal stakeholders and external partners, and a passion for strong and sustainable speak up/listen up cultures.

Essential Position Duties

·         Assist the CMIM in the design, implementation, and sustainability of the NA E&C case management and investigations framework, including operating and administrating the case management system, whistleblower line and/or reporting channel (i.e., the Helpline), and ensuring the implementation and effectiveness of all applicable policies, procedures, and manuals.  In addition, assist the NA CMIM with reporting on metrics and/or data analytics specific to the management of investigations and/or reports arising through or from the NA Helpline. 

·         Perform and conduct investigations into concerns, allegations, and issues arising or related to ethics and compliance violations arising within the region.  Performance of investigations includes, but is not limited to, document collection and review, interviewing of witnesses, drafting investigation reports, timely and effective management of an investigation case load, utilization of and working with technology tools for purposes of document review and review of search terms and phrases, and assist with all efforts to report on investigations., .   

·         As necessary, lead, assist, and partner with group company leadership and stakeholders in NA and South America (SA) regarding utilization of the case management and investigations framework, conduct investigations, and advancing a strong speak up/listen up culture. This may include supporting communications and training on the case management and investigations framework and operations.    

·         Collaboratively work closely with Legal, Human Resources, Information Technology, Internal Audit, Finance, and other relevant departments to ensure investigations are conducted in accordance with policies and regulations and remain privileged, where applicable. Collaborate with external entities, including legal counsel, external consultants, law enforcement or regulatory agencies, as necessary.

·         Support the preparation and delivery of regular communications, updates, metrics, and reports to the NA RCCO and NA CMIM, and TICO, regarding status of ethics and compliance programmatic activities specific to case management and investigations.  Additionally, compile metrics on investigations, such as time to resolve, number of substantiated and unsubstantiated allegations, categories of investigations by business line, and the like for reporting to management and compliance oversight committees.

·         As applicable, help with management and oversight of a team of dedicated compliance personnel at NA and SA group companies who represent a broad network of “compliance champions” referred to as Compliance Ambassadors.  These Compliance Ambassadors are members of the Compliance Ambassador program.

·         Serve as a resource to support NA and SA group companies’ management, legal, and associates, including Dealers, regarding questions or concerns about ethics and compliance issues and day-to-day questions including those about ethics and compliance policies, procedures, and practices relative to case management and investigations, the Helpline, and the Compliance Ambassador program.  

·         Project management support to NA E&C initiatives, including support of maintenance of the Code of Conduct, and related NA E&C policies, as well as related templates and records.

·         Promote the available speak-up channels (e.g., NA Helpline, walk-ins, etc.) for NA and SA associates and non-associates to report ethics and compliance concerns. And as necessary, conduct investigations into report of ethics and compliance concerns, questions, or issues.  

·         Maintain confidentiality and manage and investigate ethics and compliance concerns, issues, and questions raised by associates and others to identify and address allegations of potential misconduct, as well as lessons learned to enhance compliance policies and training, as part of the continuous improvement of the NA E&C program, and to prevent recurrence of ethics and/or compliance issues.   

·         Manage assigned projects, tasks, and activities 

·         Manage and/or lead assigned project teams

·         Ability to work in a constant state of alertness and safe manner

·         Additional duties as assigned

Education, Experience & Skills

·         Bachelor’s Degree in relevant fields such as, compliance, project management, communications,  journalism, English, business, or the law.  Ethics & Compliance certification(s) preferred

·         3 - 5+ years of relevant professional experience in ethics and compliance, compliance or regulatory enforcement, corporate investigations, Ethics & Compliance-specific experience preferred

·         Ability to work and research complex data

·         Effective Project Management Skills

·         Effective Problem-Solving Skills

·         Cross Functional Teamwork

·         Customer Service Focused

·         Strong Oral and Written Communicator

·         Result Oriented

Physical Requirements / Working Conditions

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Individuals must sit or stand throughout the workday as needed to perform essential functions.  May require walking primarily on a level surface for periodic periods throughout the day. Reaching above shoulder heights, below the waist or lifting as required to file documents or store materials throughout the work day. Proper lifting techniques required. May include lifting up to 25 pounds for files, computer printouts on occasion. Ability to concentrate, read and comprehend complex data.  Frequent handling of documents and use of computer and telephone.  Primary environment: ambient room temperatures, lighting and traditional office equipment as found in a typical office environment.

Travel

Travel within North America may be required (up to 25%, but possibly as high as 40%).  Travel to and within South America (Argentina and Brazil) may be required (up to 2-3%).  Ability to drive safely and valid driver’s license required.  Possibly two international trips may be required; therefore, a valid passport is required.