Director of Compliance and Ethics

Indianapolis, IN
Permanent
Full-time

13 days ago

Work for IndianaBegin a fulfilling career with the State of Indiana by joining one of the largest employers in the state, offering a range of opportunities across 60+ agencies. At the state, you'll find competitive compensation, a robust benefits package and a commitment to work-life balance. Most importantly, you'll have the chance to make a real and measurable impact on the lives of Hoosiers across Indiana.About the Indiana Department of Revenue (DOR):The Indiana Department of Revenue team has over 700 staff members from 13 locations across Indiana. We work collaboratively with the Indiana Governor's office, the General Assembly, state agencies, individuals, business owners, corporations, tax practitioners, and tax program participants to administer Indiana's tax laws. DOR administers over 65 tax types and annually processes nearly $21 billion of tax revenue. Our mission is to serve Indiana by administering tax laws fairly, securely, and efficiently.DOR holds the Top Workplaces USA award for employee engagement and satisfaction. This is the third consecutive year for national recognition and the fifth consecutive year for regional recognition.Role Overview:The Director of Compliance and Ethics serves as DOR's Ethics Officer - a position of utmost trust, integrity, and confidentiality. Sometimes the Ethics Officer serves as a counselor, which highlights the importance of remaining non-judgmental, fair, and open-minded. Key to the role is maintaining DOR staff members' confidentiality and not disclosing their identity except where required by law, where actual or potential criminal activity is reported, where harm or the threat of harm is reported, or in all other instances in which reporting the matters discussed is warranted. In all cases, a thorough understanding of the issue and how the relevant Indiana Ethics Code rule(s) applies and knowing that each matter is fact-specific is required.Responsibilities include:Providing Indiana Ethics Code-related guidance and counseling:

Drafting Indiana Ethics Code-related articles.
Administering Indiana Ethics Code-related training.
Issuing written advisory opinions to DOR staff as to whether their actual or intended activity aligns with the Indiana Ethics Code Rules.
Obtaining informal advisory opinions from the Indiana Office of Inspector General.
Requesting formal advisory opinions from the State Ethics Commission on behalf of DOR staff and represent DOR staff at the related hearings before the State Ethics Commission.
Attending the monthly State Ethics Commission meetings.
Monitoring and report completion of State Ethics Training.
Assisting staff with filing required disclosures with the Indiana Office of Inspector General.

IRS Safeguards Related Matters:

The Director of Compliance and Ethics is a subject matter expert on all matters related to compliance with IRS Publication 1075 regulations. Staff will request guidance on topics ranging from working with, disclosing, safeguarding, and disposing of federal tax information ("FTI") to office visitor requirements.
Serving as IRS Office of Safeguards Point of Contact.
Ensuring general IRS Safeguards Pub 1075 Compliance.
Assisting in the completion of Safeguards Annual Reports and Security Reports.
Assisting with the Triennial Safeguard Review and Corrective Action Plan.
Preparing necessary notifications to Safeguards per reporting requirements.
Reviewing and maintaining DOR's Authorized Access List.
Conducting the Annual Federal Tax Information ("FTI") Key Reconciliation and Inventory.
Conducting the Annual District Office Access Control Reconciliation and Inventory.
Administering DOR's Security Background Investigation Program.

Compliance and Ethics Investigations:

In rare instances, matters brought to the Compliance and Ethics department warrant investigation. These matters typically involve self-reports and allegations of staff breaches of DOR policies and Indiana Ethics Code rules. Depending on the nature of the matter, the Compliance and Ethics department may address the matter directly, speaking with the necessary party/parties to gain a thorough understanding of the issue, researching the issue, and working with the party/parties to remediate the matter.
In all cases, the Compliance and Ethics department documents the action taken, maintains the highest degree of integrity at all stages of the investigatory and remediation process, and only discloses information to relevant third parties.
Managing and responding to Unauthorized and Inadvertent (Improper) Disclosure of Tax Information, including.
Tracking DOR Staff Disclosures.
Tax Preparer Breaches.
Disclosure Officer Training - Disclosure Log Review.
Security and Privacy Awareness Training.
DOR and Non-DOR Staff Training.
DOR and Non-DOR Staff Office Badge Access.
FTA Point of Contact for Uniform Exchange Agreement information requests

Salary:The minimum salary for this position starts at $67,314.00 with 1-5 years, or $85,020.00 with 5+ years, of experience while admitted to a state bar but may be greater commensurate with education or work experience.Use our to view the total compensation package.A Day in the Life:The essential functions of this role are:

May train, manage, delegate to, and/or provide support for any legal support staff.
Advises and provides legal support to agency staff on various program and legal areas.
May oversee, draft, review, or provide legal advice relating to contracts.
Researches, interprets, and provides legal advice in relation to laws, rules, policies, and legal opinions pertaining to agency operations.
May draft and review legislation and administrative rules.
Utilizes legal resources, dockets, legal files, and official records relating to legal procedures.
Creates, prepares, and distributes documents related to hearings, including orders and decisions.
Recruits, selects, onboards, and trains employees to ensure role responsibilities and expectations are clearly understood while providing opportunities to continue professional development.
Sets expectations, measure progress, provide ongoing feedback, and evaluate the performance of employees. Ensure work adheres to quality standards, deadlines, and proper procedures.
May handle administrative matters and hearings while maintaining appropriate decorum, hear evidence, rule on the admissibility of evidence, and/or make reasoned decisions supported by evidence.
May be required to utilize litigation skills and experience relating to agency operations.
Organizes and manages caseload in the preparation of hearings and/or litigation.
May review pleadings, motions, and discovery.
May draft appeals or briefs, or perform legal writing assignments.

The job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. Other duties, responsibilities and activities may change or be assigned at any time.This position is exempt from overtime compensation for additional work hours that may be required to complete essential functions or other assigned work. Exempt employees may work more than 75 hours in a pay period without additional compensation and must report a minimum of 75 hours per pay period of work hours and/or paid leave taken to receive their base biweekly salary.What You'll Need for Success:Credentials:

A Doctorate of Jurisprudence with 5+ years of legal experience as a practicing attorney.
Indiana Bar Admission license in good standing.

Additional qualifications:

Demonstrated knowledge and ability to apply relevant statutes, case law, and rules.
Ability to effectively communicate both orally and in writing.
Ability to successfully utilize a case management system to manage a docket, case information, party information, and serve orders.
Strong legal research, writing, and litigation skills.
Able to perform essential functions with or without reasonable accommodation.

Supervisory Responsibilities/Direct Reports:This role may serve as a team lead for an assigned work group.This role provides direct supervision for two or more attorneys.Benefits of Employment with the State of Indiana:The State of Indiana offers a comprehensive benefits package for full-time employees that includes:

Three (3) medical plan options (including RX coverage) as well as vision and dental plans
Wellness Rewards Program: Complete wellness activities to earn gift card rewards
Health savings account, which includes bi-weekly state contribution
Deferred compensation 457(b) account (similar to 401(k) plan) with employer match
Two (2) fully-funded pension plan options
A robust, comprehensive program of leave policies covering a variety of employee needs, including but not limited to:

150 hours of paid New Parent Leave and up to eight weeks of paid Childbirth Recovery Leave for eligible mothers
Up to 15 hours of paid community service leave
Combined 180 hours of paid vacation, personal, and sick leave time off
12 paid holidays, 14 in election years
Education Reimbursement Program
Group life insurance
Referral Bonus program
Employee assistance program that allows for covered behavioral health visits
Qualified employer for the Public Service Loan Forgiveness Program
Free Parking for most positions
Free LinkedIn Learning access

Equal Employment Opportunity:The State of Indiana is an Equal Opportunity Employer and is committed to recruiting, selecting, developing, and promoting employees based on individual ability and job performance. Reasonable accommodations may be available to enable individuals with disabilities to complete the application and interview process as well as perform the essential functions of a role. If you require reasonable accommodations to complete this application, you can request assistance by contacting the Indiana State Personnel Department at .

State of Indiana

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