Description:
The Compliance Officer is responsible for leading and conducting thorough, impartial investigations into potential violations of company policies, regulations, and laws. This role is crucial in maintaining the organization's integrity, mitigating risks, and fostering a culture of compliance.
Key Responsibilities:
1. Investigation Management:
- Plan, coordinate, and lead complex internal investigations.
- Develop investigation strategies and methodologies.
- Oversee multiple investigations simultaneously.
- Ensure all investigations are conducted in a timely, thorough, and objective manner.
2. Evidence Gathering and Analysis:
- Collect and preserve relevant evidence, including documents, electronic data, and physical
- items.
- Conduct in-depth analysis of financial records, emails, and other data sources.
- Use forensic tools and techniques (if required) to uncover and analyze digital evidence.
- Maintain a proper chain of custody for all evidence.
3. Interviewing:
- Conduct interviews with employees at all levels, including Management.
- Utilize advanced interviewing techniques to obtain accurate and complete information.
- Document all interviews thoroughly and accurately.
- Assess the credibility of interviewees and identify potential conflicts of interest.
4. Reporting and Documentation:
- Prepare comprehensive, well-written investigation reports.
- Document findings, conclusions, and recommendations clearly and concisely.
- Maintain detailed case files and investigation logs.
- Present investigation results to Senior management.
5. Compliance Program Enhancement:
- Identify systemic issues or patterns revealed through investigations.
- Recommend improvements to policies, procedures, and controls.
- Collaborate with other departments to implement corrective actions.
- Develop and deliver training programs based on investigation insights.
6. Legal and Regulatory Compliance:
- Ensure all investigations comply with applicable laws, regulations, and company policies.
- Work closely with the Legal department on sensitive investigations.
- Assist in responding to regulatory inquiries or government investigations.
- Stay updated on changes in relevant laws and regulations.
7. Stakeholder Management:
- Liaise with various departments including Legal, Human Resources, and Governance
- department.
- Manage relationships with external parties such as outside counsel or forensic experts.
- Provide regular updates to senior management on investigation status and outcomes.
8. Ethics and Confidentiality:
- Maintain the highest level of integrity and ethical standards.
- Ensure strict confidentiality of all investigation-related information.
- Handle sensitive and confidential information with discretion.
Minimum Qualifications:
- Bachelor’s degree
- Master’s degree or equivalent is preferred.
Minimum Experience:
- 8 years of experience
- 2 years in a similar managerial role.