Compliance Investigator

Rosenthal Recruiting; New York (NY); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Competitive benefits package

Permanent position with salary based on experience

Job summary

Rosenthal Recruiting in New York is seeking an experienced investigator to manage the Background Check process and work with various departments to ensure compliance with regulatory requirements.

The ideal candidate will have at least 5 years of experience in the investigative field and excellent communication skills. This is a full-time permanent position offering a competitive salary and benefits.

Qualifications

• 5 years' experience as an investigator or compliance officer in the financial sector.
• Excellent written and verbal communication skills.
• Ability to work under pressure and meet tight deadlines.

Responsibilities

• Document and archive all material according to Company procedures.
• Act as liaison and relationship manager between vendor(s).
• Assess completed results of the checks and evaluate potential risk.

Skills

Communication skills

Detail-oriented

Ability to prioritize tasks

Experience in investigative field

Education

Bachelor's Degree

Job description

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

• 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

• 5 years' experience as an investigator or compliance officer at an investment advisor, investment bank, hedge fund, broker-dealer, or background check vendor.
• 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.
• Excellent communication skills, both written and verbal, 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 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.