We are currently seeking an Investigator for our Douglas-based Client, a leader in fiduciary services, fund administration, and management and investment advice compliance.
As an Investigator you will have responsibility for contributing to the efficient progression of Enforcement cases referred to the Enforcement Division from pre-referral to the point of closure. Wider duties will include:
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Scope investigation work
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Identify and participate in the collection and analysis of evidence including drafting document requests, conducting recorded interviews with witnesses/subjects, analysis of financial/transactional data as required
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Draft case related documents including information requests, public statements, internal and external case related correspondence
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Work with team members to prepare for and conclude settlement discussions
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Work with team members to prepare and progress cases through inquiry and/or any litigation which may arise
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Communicate with relevant case stakeholders including management, supervision, internal and external legal counsel, consultants and case subject(s) etc, to ensure timely and appropriate response to both written and oral communications
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Exercise excellent judgment in the identification of matters arising during the investigation process to ensure that the appropriate matters are escalated properly and that risks are identified and mitigated
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Ensure compliance with internal procedures, governance and decision-making protocols
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Undertake line management as assigned for more junior team members and act as mentor to assigned junior staff ensuring their progression in line with documented training and development plans
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Set an example to staff to develop and maintain a positive and professional culture within the organisation
The Ideal candidate for the role of Investigator will:
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Hold, or be willing to work towards, a relevant professional qualification in one of the following fields - investigative practice, risk, compliance, law, accounting or AML/CFT related
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Evidence of strong relevant regulatory/industry practical experience in the fields of regulatory enforcement, compliance, risk, audit and/or forensic accounting
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Highly analytical, able to interpret large volumes of complex information quickly and accurately and the ability to make logical and timely decisions, cutting through complexity, seeing the big picture and making appropriate recommendations
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Ability to work under pressure, manage a workload of varied complexity, balance competing priorities and deliver against deadlines
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Take a thorough and methodical approach to work, demonstrating a strong attention to detail
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Ability to interpret financial legislation and regulations
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Ability to build and maintain working relationships with both internal and external stakeholders at all levels including the ability to influence and negotiate