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Position Description:

The Legal Investigator III reports to the Senior Director, Legal Compliance and Investigations in the Office of University Counsel, and is responsible for conducting independent, impartial, and thorough investigations into reported misconduct involving violations of University policies, procedures, and applicable requirements, with a primary focus on financial misconduct, fraud, waste, and abuse. Responsibilities include assessing allegations, gathering and analyzing relevant evidence, conducting interviews, maintaining complete and accurate investigative records, preparing written investigative reports documenting findings and supporting evidence, and ensuring the timely and appropriate resolution of reported concerns. The Legal Investigator III also promotes institutional accountability and compliance by educating the University community about its duty to report suspected misconduct, the prohibition against retaliation, and applicable reporting and investigative procedures.     

Essential Duties and Responsibilities

• Conduct thorough, impartial, and timely investigations into reported financial misconduct, fraud, waste, abuse, and other alleged violations of University policies, procedures, and applicable requirements.
• Evaluate reports of suspected misconduct, identify relevant issues and applicable policies, determine the scope of investigations, and develop investigative plans identifying necessary evidence, witnesses, and investigative steps.
• Obtain, review, preserve, and analyze relevant documentary, electronic, financial, and testimonial evidence, including financial records, transactions, contracts, procurement documents, expense reports, and other institutional records.
• Interview complainants, respondents, witnesses, subject-matter experts, and other relevant individuals to obtain information, clarify discrepancies, and develop a comprehensive understanding of the facts.
• Examine suspected fraud, embezzlement, conflicts of interest, misuse or misappropriation of University funds or assets, improper expenditures, irregular transactions, falsification of records, and other forms of financial misconduct.
• Analyze the totality of the evidence, assess credibility and reliability, identify corroborating or conflicting information, and develop evidence-based findings regarding whether alleged misconduct occurred and whether applicable policies or procedures were violated.
• Draft clear, objective, and well-supported investigative reports documenting the allegations, scope and methodology of the investigation, relevant evidence, factual findings, applicable policies, and conclusions. Identify control weaknesses, procedural deficiencies, and other issues requiring institutional attention.
• Create and maintain complete, accurate, organized, and secure investigative files, including interview notes, evidence inventories, correspondence, analytical workpapers, and investigative reports, in accordance with University recordkeeping, confidentiality, and retention requirements.
• Collaborate, as appropriate, with University Counsel, Internal Audit, Human Resources, University Police, financial and administrative offices, and other relevant institutional partners to obtain information, coordinate investigative activities, and facilitate appropriate responses to substantiated concerns.
• Identify weaknesses in internal controls, financial processes, administrative practices, and policy compliance that may contribute to misconduct or institutional risk. Communicate identified concerns and recommend appropriate corrective, preventive, or process-improvement measures to authorized University officials.
• Document and communicate investigative findings to appropriate University officials and facilitate referrals for administrative action, financial recovery, process remediation, disciplinary review, or external reporting when warranted and authorized.
• Maintain an organized investigative caseload, establish priorities based on the nature and seriousness of allegations, monitor investigative progress, communicate status updates to appropriate stakeholders, and work to resolve matters within established or reasonable timeframes.
• Handle complaints, evidence, and investigative information in accordance with applicable University requirements and need-to-know limitations. Educate relevant stakeholders about the duty to report suspected misconduct, the prohibition against retaliation, and appropriate procedures for raising concerns.
• Assist in developing and delivering educational materials, training, and guidance regarding financial integrity, fraud prevention, reporting obligations, University policies, investigative procedures, and protections against retaliation.
• Stay informed about investigative best practices, fraud indicators, financial misconduct trends, evidence preservation, interviewing techniques, applicable legal and regulatory requirements, and relevant University policies and procedures.
• Perform other duties consistent with the position’s responsibilities and the mission of Legal Compliance and Investigations, as assigned.

Preferred Qualifications

• J.D.; Certified Fraud Examiner; Certified Public Accountant; or Certified Internal Auditor
• Degree in a related field, including but not limited to criminal justice, public administration, accounting, finance, or business.
• Five or more years of progressively responsible experience conducting investigations involving financial misconduct, fraud, waste, abuse, regulatory compliance, internal controls, or other organizational misconduct.
• Demonstrated ability to manage complex investigations independently, exercise sound professional judgment, and communicate sensitive findings to senior leadership.
• Prior work experience in higher education or another complex public-sector organization, with knowledge of internal controls, financial compliance, and institutional accountability.

Competencies

• Interpersonal Ability: Strong working relationships with employees, colleagues, and students through trust, communication, and credibility while showing sensitivity to the differences in the needs and concerns of others.
• Investigative Skill: Ability to efficiently conduct thorough, impartial financial misconduct or fraud investigations, including evidence gathering, interviewing, and fact-finding.
• Integrity: Highest commitment to maintaining confidentiality and upholding ethical standards throughout the university’s grievance process.
• Flexibility: Adapt rapidly to changing circumstances, anticipate problems, and work proactively to solve issues in high stress environment.
• Initiative: Take action in anticipation of future needs or opportunities anticipating potential obstacles before they arise.
• Communication: Ability to express thoughts and ideas clearly, concisely, persuasively, and effectively.
• Analytical Skill: Able to critically evaluate data and other information with the ability to choose the best solution and make appropriate recommendations.
• Organizing/Planning: Must manage time effectively, establishing priorities, timetables, and goals, and developing appropriate action/investigative plans.
• Teamwork: ability to work with others, serve others, help others, lead others, mentor others, take directions from others in the interest of moving process and programs forward to the desired outcome.

Target Compensation Maximum:

Target Compensation Minimum:

Compensation will be commensurate to candidate experience.

Equal Employment Opportunity

The University of Louisville is an Equal Employment Opportunity employer. The University strives to provide equal employment opportunity on the basis of merit and without unlawful discrimination on the basis of race, sex, age, color, national origin, ethnicity, creed, religion, disability, genetic information, sexual orientation, gender, gender identity or expression, veteran status, marital status, or pregnancy. In accordance with the Rehabilitation Act of 1973 and the Vietnam Era Veteran Readjustment Act of 1974, the University prohibits job discrimination of individuals with disabilities, Vietnam era veterans, qualified special disabled veterans, recently separated veterans, and other protected veterans. The University acknowledges its obligations to ensure affirmative steps are taken to ensure equal employment opportunities for all employees and applicants for employment. It is the policy of the University that no employee or applicant for employment be subject to unlawful discrimination in terms of recruitment, hiring, promotion, contract, contract renewal, tenure, compensation, benefits, and/or working conditions. No employee or applicant for employment is required to endorse or condemn a specific ideology, political viewpoint, or social viewpoint to be eligible for hiring, contract renewal, tenure, or promotion.

Consistent with applicable law, demographic information is collected for aggregate reporting requirements. Demographic information provided through this application is not available to hiring managers/committees and is not considered in hiring or employment decisions.

Assistance and Accommodations

Computers are available for application submission at the Human Resources Department located at 2315 South First Street Walk, Room 02C - Louisville, Kentucky 40292.

If you require assistance or accommodation with our online application process, please contact us by email at employment@louisville.edu or by phone 502-852-6258.