Compliance Investigator

  • New York, NY
  • Full-time

Company Description

Investment Fund Company

Job Description

Job Summary

Primary focus is the Background Check process.  Review and compile investigative research as well as conduct follow-up interviews with potential hires. Work closely with business managers, Compliance, Legal Department and other business areas to ensure that all business activities are conducted in accordance with U.S. and non-U.S. regulatory requirements.

Responsibilities include

-Document and archive all material according to Company procedures.
Act as liaison and relationship manager between vendor(s) to ensure appropriate follow-up as required

-Utilize forensic evidence gathering methods
-Assess completed results of the checks and evaluate potential risk as related to the position for which an individual or entity is being considered
-Timely, accurate processing and analysis of a high volume of global background checks
-Manage investigative resources efficiently and effectively
-Summarize relevant information to management and make suggestions in regards to next steps in the process

 

Qualifications

Work Requirements

5 years' experience as an investigator or compliance officer at an investment advisor, investment bank, hedge fund, broker-dealer,  or background check vendor in a

Capacity supporting clients for a background check vendor, may be considered

Experience working in the investigative field such as an investigator or a law enforcement officer, may also merit consideration

 

Other Requirements

-Excellent communication skills, both written and verbal in order to deliver reports of findings to Management involved in the decision making process.

-Ability to continuously prioritize tasks in a rapidly changing

environment with a sense of global urgency

-Detail oriented with a keen sense for discretionary escalation

-Demonstrates thoroughness and strong ownership of work

-Motivated self-starter with the ability and willingness to work

flexibly, under pressure and has the ability to meet tight deadlines

-Bachelor's Degree, advanced degree preferred

 


Additional Information

Base Salary will depend on candidate work experience.

This is a full-time permanent position. In addition to salary,  the position will offer benefits that are available to all Company employees.

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If this sounds like the right job for you, you can use the button below to submit your resume. Please attach resume in Word format preferably. You may also e-mail directly with resume attached. 

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