Investigations, Audits & Compliance

Investigations, Audits & Compliance

Given the complex legal and regulatory risks businesses face, clients rely on Waller's labor and employment attorneys to identify and creatively resolve workplace issues. We counsel employers on minimizing risks, ensuring compliance with ever-expanding labor and employment laws and, when necessary, conducting timely and proper investigations of allegations of unethical or unlawful behavior.

Whether investigating a series of complaints against large multinational corporations or a single matter involving a single site employer, we understand the importance of completing audits and investigations in a prompt yet thorough manner. Our clients look to us to guide them to a successful outcome through the creation and implementation of appropriate corrective actions that can help minimize liability.

Audits and Compliance

We partner with our clients, and their boards and audit committees to:

  • Recommend appropriate disciplinary actions
  • Make necessary policy changes
  • Provide training to supervisors and managers
  • Institute programmatic operational and compliance changes

We counsel clients on employment agreements, policies and handbooks, and we conduct audits of personnel policies and practices ranging from specific issues to comprehensive audits of all the company's employment law practices. We create and implement audits to ensure that our clients are in compliance with affirmative action, Equal Employment Opportunity (EEO) and diversity goals. Our audits are designed to mitigate our clients' risk and reinforce best practices in the workplace. In the event of agency audits, we have worked with clients to develop successful strategies that have resulted in "no violation" findings.

Investigations

Unexpected crises can take many forms and can quickly shift management's focus to damage control. Waller's experience includes high-profile and confidential investigations involving allegations of discrimination, harassment and retaliation. We approach such engagements with a plan to provide advice on issues related to the scope, design and process of the investigation; to determine the degree and extent of transparency both during and after the investigation; and to evaluate and recommend corrective action plans.

Related Experience

Large healthcare network undergoes internal investigation

Conducted an internal investigation of a large healthcare network which led to significant internal restructuring and personnel changes.

Publicly traded Fortune 1000 company undergoes internal investigation

Conducted an internal investigation for a publicly traded company to possible kickback and federal regulatory violations in context of highly complex data and financial systems.

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