Sample Job Description for Investigator of Compliance
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Investigator of Compliance Job Overview
Investigator of Compliance Job Description Sample
Conducts investigations of alleged violations of the corporation's ethical standards or non-compliance with applicable laws, regulations and corporate policy.
JOB LEVEL
P03
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Manager or Head of a Unit/Department
Salary Range
BASE 50%
$94,590
TOTAL 50%
$101,490
Job Responsibilities for Investigator of Compliance
Ensures that investigations follow the approved process, are lawfully and objectively conducted, are thorough in gathering all material facts and present an accurate accounting of the issues. Presents clear, concise, and factual reports that enable fair and relevant decisions to be made. Recommends proactive measures that will reduce the risk of similar future incidents.
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View Job Description Templates of Similar Jobs
| Job Title | Job Description | |
|---|---|---|
| 1 | Vice President of Global Ethics and Compliance | The Vice President of Global Ethics and Compliance is responsible for all activities relating to standards of conduct and ethical relationships, including Sarbanes Oxley. Develops and directs the organization's worldwide ethics and compliance function. Being a Vice President of Global Ethics and Compliance is responsible for company-wide confidential reporting systems allowing employees, customers, contractors, and other stakeholders to disclose violations of the corporation's ethical standards, violations of law, or corporate policy relating to such matters without fear of retaliation. Oversees development of a compliance risk management program to assess, prioritize, and manage legal and regulatory compliance risks based on Federal Sentencing Guidelines requirements and benchmarking research, facilitating the systematic assessment and management of compliance risks. In addition, Vice President of Global Ethics and Compliance requires a bachelor's degree in area of specialty. Typically reports to top management. The Vice President of Global Ethics and Compliance manages a departmental function within a broader corporate function. Develops major goals to support broad functional objectives. Approves policies developed within various sub-functions and departments. Working as a Vice President of Global Ethics and Compliance typically requires 8+ years of managerial experience. Comprehensive knowledge of the overall departmental function. |
| 2 | Manager of Ethics and Compliance | The Manager of Ethics and Compliance implements programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Oversees and promotes the organization's global ethics and compliance function. Being an Manager of Ethics and Compliance delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Communicates the organization's ethical standards, policies, and regulations. In addition, Manager of Ethics and Compliance conducts compliance monitoring, investigations, and remediations of any non-compliant actions. Manages the administration of confidential reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. Typically requires a bachelor's degree. Typically reports to a director. The Manager of Ethics and Compliance manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Working as an Manager of Ethics and Compliance typically requires 5 years experience in the related area as an individual contributor. 1 - 3 years supervisory experience may be required. Extensive knowledge of the function and department processes. |
| 3 | Labor Safety Manager | The Labor Safety Manager monitors and evaluates the workplace to ensure compliance with governmental regulatory agencies. Plans and manages the general health, safety, and loss control policies and procedures of the organization. Being a Labor Safety Manager develops worker plans and policies for new employee safety orientation including skill training, emergency preparedness, proper job instruction, hazardous material disposal procedures, and the use of protective equipment. Designs and directs safety training programs to reduce accidents, occupational illnesses, and exposure to long-term health hazards. In addition, Labor Safety Manager studies, identifies, and reports causes of past accidents and develops recommendations and follow-up to prevent accident recurrences. Requires a bachelor's degree of occupational safety and health or related degree. Typically reports to a head of a unit/department. The Labor Safety Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Extensive knowledge of department processes. Working as a Labor Safety Manager typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required. |
| 4 | Director of Ethics and Compliance | The Director of Ethics and Compliance designs and develops programs to assess and manage legal and regulatory compliance risks and to establish high ethical standards of conduct for the organization. Develops, directs, and promotes the organization's global ethics and compliance function. Being a Director of Ethics and Compliance communicates the organization's ethical standards with messaging and deliver employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Ensures that policies reflect domestic and international legal requirements and industry-specific codes governing ethical standards and comply with transparency reporting requirements. In addition, Director of Ethics and Compliance monitors compliance with policies and investigates and remediates any non-compliant actions. Responsible for maintaining confidential reporting systems allowing employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. Requires a bachelor's degree in area of specialty. May require the Certified Compliance and Ethics Professional (CCEP)certification. Typically reports to top management. The Director of Ethics and Compliance manages a departmental sub-function within a broader departmental function. Creates functional strategies and specific objectives for the sub-function and develops budgets/policies/procedures to support the functional infrastructure. Working as a Director of Ethics and Compliance typically requires 5+ years of managerial experience. Deep knowledge of the managed sub-function and solid knowledge of the overall departmental function. |
| 5 | Head of Corporate Compliance | The Head of Corporate Compliance plans and directs programs, policies, and practices to ensure that all business units' activities are in compliance with regulatory requirements. Responsible for an organization's compliance with financial policy and reporting regulations. Being a Head of Corporate Compliance requires a bachelor's degree in area of specialty. Tracks laws and regulations that might affect the organization's policies and implements necessary changes. In addition, Head of Corporate Compliance demonstrates expertise in a variety of the field's concepts, practices, and procedures. Typically reports to top management. The Head of Corporate Compliance manages a departmental function within a broader corporate function. Develops major goals to support broad functional objectives. Approves policies developed within various sub-functions and departments. Comprehensive knowledge of the overall departmental function. Working as a Head of Corporate Compliance typically requires 8+ years of managerial experience. |
Investigator of Compliance Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Project Management | Level 2 |
| Attention to Detail | Level 3 |
| Honesty And Integrity | Level 3 |
