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



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.


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.