Manager, Investigations Resume Samples

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P McCullough

Presley

McCullough

66855 Jenkins Fords

Chicago

+1 (555) 267 8506

66855 Jenkins Fords

Chicago

Phone

p +1 (555) 267 8506

Experience Experience

Philadelphia, PA

Manager, Investigations

Philadelphia, PA

Brown-Nolan

Philadelphia, PA

Manager, Investigations

Assign tasks, review work, and write and deliver performance appraisals
Familiarity with Internet protocols, newsgroups, social networking, peer to peer networks, and computer and Internet based investigative tools
Provide guidance to business units regarding solutions to security issues requiring investigation
Participate in the development and/or revisions of procedures
Perform other duties as assigned
Develop and institute KPIs with input from investigation team and other key stakeholders
Perform threat assessments and background checks

Dallas, TX

Manager FCC AML Investigations

Dallas, TX

Stoltenberg-Fadel

Dallas, TX

Manager FCC AML Investigations

Recording reasons for case returns to L2/L3, to allow for identifying of trends and analysis
Managing day-to-day executions of the AML Investigations team as outlined in the AML Investigations Procedural Standards
Areas of specific responsibility to include compliance matters relating to
Ensure compliance of both general and anti-money laundering and anti-terrorist financing (AML/ATF) compliance controls as well as operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues
Through the implementation the Global AML, Sanctions and ABC Policies, supporting Guidance, and Line of Business Procedures the jobholder will make informed decisions in accordance with the core principles of HSBC's Financial Crime Risk Appetite
Provides direct support to Senior Manager, Compliance 2 (areas of responsibility include substantial shareholding disclosure, conflicts, staff dealing)
This will be achieved by ensuring all actions take account of the likelihood of operational risk occurring and

present

Boston, MA

Manager, Aml-sar Investigations

Boston, MA

Moen, Mante and Kassulke

present

Boston, MA

Manager, Aml-sar Investigations

present

Work with Sr. Compliance Program Manager to collate metrics and other data as requested
Make recommendations for closing customer accounts/relationships based on investigation
Monitor, Measure, and Manage progress of each SAR Analyst
Provide quality assurance analysis and reviews
Drive results through collaboration and manage through influence to gain consensus and move issues and concerns forward
Assist in determining whether a SAR should be filed and drafting narrative for each case substantiating the decision/recommendation
Performing Negative Media scan using tools such as Internet search engines and LexisNexis

Education Education

Bachelor’s Degree in Business

University of California, Santa Barbara

Bachelor’s Degree in Business

Skills Skills

Documented training in information systems security courses and/or certification as an Information Systems security professional or other relevant Information Systems professional certification is highly desirable
Excellent oral and written communication skills, excellent investigative report writing ability, and proficient in providing court testimony
Proficient in conducting criminal investigations, have a familiarity with criminal and employment law, evidence collection and retention, interviewing and interrogation
Effective leadership capabilities; uncompromising integrity and ethics; and a demonstrated ability to deliver global security excellence to ensure that Investigations and Counterintelligence organization continues to set industry wide standards
Ability to handle multiple tasks and priorities in a highly dynamic environment
Knowledge of the NISPOM (National Industrial Security Program Operating Manual)
Proficient with PC and computer program skills which focus on security features implementation, auditing and monitoring
Working knowledge of network and system auditing (e.g. Windows, UNIX)
Perform threat assessments and background checks
Collaborate with Content Security, Physical Security, IT Security, and strategize about preventative measures

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Manager, Investigations Resume Examples & Samples

Work closely with content protection, employment, intellectual property, and litigation legal departments on projects, as needed
Conduct internal/external investigations involving theft of Fox content and property
Conduct internal/external investigations regarding allegations of company policy violations and inappropriate conduct
Perform threat assessments and background checks
Collect and analyze evidence, conduct interviews, and provide timely and accurate reports. Interact with government and law enforcement agencies
Provide guidance to business units regarding solutions to security issues requiring investigation
Collaborate with Content Security, Physical Security, IT Security, and strategize about preventative measures
Minimum 5 years of civilian and/or government investigative experience and extensive knowledge of investigative practices, including the ability to prepare cases for presentation to prosecutors for criminal action
Strong technical background in computer related field, business, science, or criminal justice
Strong knowledge of PCs, MACs, and mobile devices
Familiarity with Internet protocols, newsgroups, social networking, peer to peer networks, and computer and Internet based investigative tools
Strong analytical, interviewing, decision-making and problem-solving skills
Ability to handle multiple tasks, provide accurate data with demonstrated above average verbal, written and interpersonal communication skills through past performance
Demonstrated proficiency with PC applications, including Microsoft Office Suite
Ability to conduct public records checks, internet searches, and personal/business financial reviews as appropriate
Graduate Degree or current enrollment in graduate school preferred
Computer Forensics Certification preferred

Manager Special Investigations Unit Resume Examples & Samples

Conduct specialized internal investigations and coordinate efforts with other investigative assets within the firm
The Unit’s mission is to investigate matters involving potentially significant misconduct by financial advisors and employees, proactively identify potential areas of exposure within the company, and report findings and advice to senior management and appropriate firm committees
Investigations are likely to originate with the following sources
A college degree is required, a law degree is desirable, as is the Certified Fraud Examiner (CFE) designation, or equivalent
The successful candidate will have substantial hands-on experience in a law enforcement agency, law firm, financial services firm, industry regulator or equivalent, investigating matters involving fraud, theft, market manipulation, other schemes to defraud, etc
Excellent oral communication skills, including substantial experience in conducting interviews
Experience with managing and mining significant amounts of information and data is required
Solid writing skills

Manager, Investigations Resume Examples & Samples

Identify and monitor relevant threats to the Luxottica house brands/markets in the Region
Provides to the management and subsidiaries reports by collecting, analyzing, and summarizing the activity
Implement the Global IP Protection strategy in the region also defining the best approach to prevent and solve brands/patents violations issues through

Manager Investigations Resume Examples & Samples

Bachelor’s degree or minimum three years of proven investigations experience or equivalent experience, such as a branch supervisory role
Knowledge of fraud scams and Bank policies and procedures
Ability to prioritize investigations on a daily basis and effectively manage a large number of on-going investigations
Lateral thinker with an ability to interpret and solve complex issues
Strong interpersonal, communications, analytical and presentation skills
Ability to adapt to change and to work in a team environment
Preferred - Risk professional with experience in one or more risk roles
Preferred – Basic knowledge of Sanctions regulations and guidance, proceeds of crime legislation and associated AML regulation and guidance

Anti Money Laundering Investigations Senior Manager Resume Examples & Samples

Highly regulated environment requiring strict adherence to policy and procedure
At least 10 years of experience in the investigation of complex financial crime within the public sector or within a financial institution
Minimum of a Bachelor's degree in Business, Accounting, Finance, or equivalent field or experience
Knowledge of all aspects of AML and Financial Crime Compliance; including the U.S. Bank Secrecy Act, the USA PATRIOT Act, and Global Sanctions requirements. Strong understanding of non-U.S. AML laws and regulations
Proficiency with Personal Computers, relevant mainframe systems, and software packages

Manager, FCC AML Investigations Resume Examples & Samples

Demonstrate clear understanding of Compliance disciplines
The role holder is expected to deliver a high performance and take decisions based on knowledge and experience
The role holder is required to think proactively use initiative in finding solutions to problems
Work collaboratively within the immediate team and more widely within the FCC team
Contribute to your team’s delivery of outstanding performance (client service, behavioral expectations, and adherence to FCC AML strategies and priorities)
Work with the team to provide a highly professional, competent and skilled service to the Business
Think proactively and come up with ideas for enhancements to FCC AML activity
Professional work ethic with an aptitude to communicate effectively
5-7 years’ experience in the Financial Services industry and/or Compliance industry
Familiarity with the following programs World Check, SCION, Client Connect
Thorough knowledge of AML within in the financial services industry. Understanding of money laundering risk, financial crime risk, regulatory risk and the general compliance risk environment
Good planning and organizational skills are essential for this role. Ability to remain effective under pressure, provide assessment and sound judgment. Strong analytical and investigative skills
Strong communication skills, verbal and written, together with strong interpersonal skills and the ability to build rapport and relationships with colleagues
Ability to adapt to changing work and demands
Ability to work within governing guidelines, research using appropriate resources

Anti-money Laundering Investigations & Sars Manager Resume Examples & Samples

Provide direction and oversight over a Financial Intelligence functional unit by managing a staff of Leads, Investigators, Analysts and/or Coordinators
Align operational procedures and processes with AML Program objectives to mitigate the enterprise’s exposure to money laundering risk. Provide input on the design and implementation of policies, procedures and processes utilized within Financial Intelligence
Oversee and direct the monitoring, identification, research, analysis, investigation and follow-up of suspicious activity. Ensure that activities are reviewed in a holistic manner across the spectrum of products and services used by the customer
Collaborate across Financial Intelligence functions, the AML Office and Legal Entities and Lines of Business (LE/LOBs) to identify opportunities to improve compliance and resolve escalated issues. Plan and implement changes to enhance effectiveness
Ensure appropriate and timey follow-up of identified issues
Ensure adherence to documentation requirements. Perform periodic reviews of operations and initiatives to ensure observance of enterprise and regulatory policies
Report concerns and status of AML compliance to senior management. Recommend follow-up actions and ways to improve to the Financial Intelligence Manager and Chief US AML Officer
BMO Financial Group U.S. LE/LOBs – P&C, U.S., PCG and Capital Markets
Corporate Compliance and Audit
Bank Examiners/Auditors
5+ years of prior BSA/OFAC and Compliance experience, with 2-3 years in a leadership role preferred
Maintaining or pursuing an AML-related certification (e.g., CAMS)
Expert knowledge of AML and OFAC regulatory requirements

Manager of Investigations Resume Examples & Samples

Bachelors degree in Criminal Justice, Criminology, Sociology, Homeland Security, Government or a related field
1-5 years of investigation experience
Reliable form of personal transportation and flexibility to travel
Valid U.S. Drivers License
Current TS/ SSBI preferred, but not required
Must have experience with OPM

Manager FCC AML Investigations Resume Examples & Samples

The nature of the role requires close working contact with stakeholders across the Group and the FCC, RC and reputational risk/client selection teams in the Group’s major markets and main subsidiaries
Where necessary, escalation of AML Investigations and FCC-related issues as required to Senior FCC managers
Provide highly professional, competent and skilled service to the AML Investigations and FCC functions
Provide clear communications to the various HSBC business lines
The post holder is required to help support the development of a compliance culture across the Group
Regular communication with Senior Manager Quality control, and production of MI where required
Bachelor degree or equivalent experience. ACAMS accreditation certificate strongly preferred
Experience in coordinating with the wider AML and FCC teams
Understanding and knowledge of HSBC’s activities, products, processes and systems would be preferred
Working within demanding timelines
Ability to work independently within assigned authority
Awareness of good risk management and governance frameworks including 3 lines of defense criteria
Ability to communicate effectively with FCC and FCC Operations
Capable of training, mentoring and guiding new employees through training process

Manager of Investigations Resume Examples & Samples

Bachelor's degree in Criminal Justice, Criminology, Sociology, Homeland Security, History, Government, or other related field
5-5 years investigative experience
Current TS/SSBI preferred, but not required

Manager Investigations Resume Examples & Samples

Manage an investigation team, processes and workflow in a 24/7 operation
Use data to detect fraud trends and drive critical business decisions
Collaborate with engineering teams to improve tool sets
Operations related work experience
Experience with data analysis in Microsoft Excel, similar program, or more advanced programs such as SQL, OBIEE, etc
5-10 years of leadership and people management experience
Strong, self-driven leader with demonstrated ability to proactively drive, manage and grow an operations team

Manager, Investigations Resume Examples & Samples

Bachelor's degree in a quantitative field (engineering, economics, and mathematics)
Expert level in org wide initiatives that deliver direct business impact WW
Strategizing and program managing
Quality initiative skill - Six Sigma defect reduction techniques, BCP - Business continuity expertise skills
Extensive relevant operations (preferably fraud) industry Experience
Proven experience across the domain of Risk Management & Fraud. Clear understanding of phishing, malware, active content, social engineering, mule networks, fraud detection, fraud workflow tools, etc. Proven track record driving change and innovation
Proven ability to understand and manage complex systems
Strong ability to source and analyze data to drive business strategies and decisions
Coaching and leadership skills that bring out the best of the team
Post -graduation degree in management degree from a Tier-1 or Tier-2 business school
8 to 12 years of experience in operations
Business Understanding/work experience in BRI process (applicable for internal applicant only)
Candidates from Bangalore (applicable for internal applicant only)

Senior Manager FCC AML Investigations West Resume Examples & Samples

Required to work with considerable autonomy, dealing with major issues for which there is no clear cut solution with still being able to provide judgment and clear direction. Where items of major consequence are involved, reference is made to the Canadian Regional Head of AML Investigations. The nature of the role requires close working contact with senior staff in other FCC areas
Minimum of 7-10 years proven and progressive progressive financial services experience-particularly in assurance or risk management activities, and to include AML investigations experience or equivalent
Bachelor’s degree in business, a related field or equivalent experience
Well-developed managerial, communications, analytical, organizational, and planning skills. Strong initiative and positive attitude required. Must be able to deliver services as part of the business Compliance team, across company lines, and to work independently in performing the job responsibilities
Strong knowledge of assigned businesses, products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to the business
In-depth knowledge of systems development process and project management is essential
Ability to interpret and solve complex issues, often with incomplete information, requiring strong analytical skills

Manager, Disputes & Investigations Resume Examples & Samples

Oversee complex accounting related matters and disputes (example project types include investigations, forensic accounting, post-acquisition disputes, and litigation support)
Develop project work plans, strategy, and budgets
Execute and manage multiple streams of work
Research technical and industry specific issues
Preparation of reports and other client deliverables
Develop and implement solutions to complex problems by thinking “outside the box”
Supervise, develop and motivate staff by providing them with leadership, mentorship, performance feedback and career guidance
Develop client relationships and assist with business development
Bachelor’s degree in accounting (preferred), finance, economics or other business-related field
5 to 7 years of experience in combination of forensic accounting, investigation and litigation consulting roles required; 3+ years of Big 4/public accounting firm experience a plus
CPA designation required; ABV, ASA, CFA, CFE or CFF desired
Must have flexibility to travel as needed

Manager of Investigations Resume Examples & Samples

Manages one analyst
Conducts investigations on allegations submitted to DaVita’s Compliance Hotline and the Disclosure Log required by the Corporate Integrity Agreement (CIA). Investigations may include research, data analysis, process analysis, interviews, follow-up, and documentation
Processes and evaluates internal inquiries and allegations and external complaints, and conducts investigations of compliance matters across all business areas
Oversees the maintenance of the Compliance Hotline and the Disclosure Log required by the CIA
Ensures appropriate and prompt investigation and resolution of regulatory complaints and inquiries
In collaboration with JLD and OSC, implements appropriate policies and procedures to ensure consistency and timeliness in the investigation and disposition of compliance-related allegations, complaints and reports; ensures that such results are promptly communicated to appropriate stakeholders
Understands DaVita’s obligations under the CIA and marks for review any issues that may be classified as a ‘Disclosure’ or ‘Reportable Event&#8217
Promotes the development of cross-departmental processes; and
Provides periodic updates to DaVita senior leadership
Interacts with leadership in all departments across the organization
Documents investigation findings and conclusions
Travel required: up to 25%
Dedication, above all, to caring for patients suffering from chronic kidney failure across the nation
Bachelor’s degree required; Master’s/Law degree preferred
Minimum five (2) years experience in healthcare compliance professional or a practicing lawyer leading or performing internal compliance investigations, and designing and implementing internal processes that enhance and encourage ethical behavior
Successful track record with positions of increasing responsibility in a healthcare organization, a law firm, and/or a federal or state healthcare or enforcement agency
Prefer prior experience with conducting compliance investigations
Prefer prior experience with legal/regulatory advice to healthcare providers
Demonstrated ability to present and communicate effectively with executive management, functional leaders, and field employees
Prefer prior experience working under a CIA/DPA or advising clients related to CIA/DPA requirements
People management experience preferred
Knowledge of federal fraud and abuse laws preferred
Superior drafting and communication skills required
Proven track record of collaborative problem solving with senior management and business leaders to achieve business goals
Excellent computer skills and proficiency in MS Word, Excel, PowerPoint, and Outlook

Manager, FIU Investigations Resume Examples & Samples

Four-year college degree in any field or relevant work experience equal to a four-year degree plus the required experience with a four-year degree in Business, Finance, Accounting, International Studies, Criminal Justice, Law Enforcement being preferred
BSA/AML certification from a financial industry group (CRCM, ACAMS, or CFE) required or obtained within first six (6) months of employment is required
5+ years of SAR, banking security and/or law enforcement investigation experience with 2+ years of supervisory experience is required
5+ years of regulatory compliance, BSA/AML, or fraud investigations experience is required
Advanced knowledge of law enforcement concepts, practices, and legal documents for the financial services industry, including subpoenas, search warrants, Grand Jury Subpoenas, and National Security Letters is required

Manager Investigations Resume Examples & Samples

Relationship Manager – Develops, influences, and nurtures trust-based relationships with Medical Center leaders, law enforcement officials, and professional organizations. Acts as a consultant to BWH leaders
Executive Management and Leadership – Builds, motivates, and leads a professional team attuned to BWH culture, responsive to needs, and committed to integrity and excellence
Supervision - Responsible for managing human resource functions such as interviewing, hiring, orienting, performance evaluations, counseling and disciplinary actions for 3 employee FTE.’s. As a member of the department and division’s management team, assists with the creation of an environment that encourages high productivity and job satisfaction
Goals - Establishes goals and objectives in support of and complementary to the BWH goals and objectives
Policy and Procedure Development - Establishes policies and procedures within area of responsibility integrating best practices from recognized professional associations, the local standard of care and entities of the BWH
Investigations/Intelligence– Provides technical expertise appropriate to knowledge of investigations and intelligence collection and analysis
Training – Manages and participates in the development of in-service training programs and with the on-going on-the-job training and development of security and BWH staff and others in the hospital community. Utilizes best-in-class adult learning concepts and various training vehicles, including online training, to educate staff and others
Crime Prevention- Leverages investigations knowledge and intelligence to develop methodologies to prevent crime at BWH. Utilizes contract Community Service Officers to carry out crime prevention activities
Finance - Assists the Director with the overall development of expense and capital budget for area of responsibility
Creative Problem Solver – Aids competitiveness and adds value by contributing dynamic, real-time critical thinking and solutions that enable the organization to “prevent” disruptions from occurring and minimize damage when they do occur. Engages in business process to mitigate risk. Is a positive change agent on behalf of the BWH security program
Other - Discharge such other responsibilities, as Brigham and Women’s Hospital Administrations may deem appropriate. Serves as the Security Administrator On-Call as needed
Must demonstrate broad and thorough working knowledge of the principles of investigations management including a thorough knowledge of applicable laws, case management, interview/interrogation techniques, and court procedures and criminal process
Must have demonstrated experience in the area of intelligence collection and analysis, the creation of intelligence products, and data analysis
Incumbent must have experience in the creation, delivery and management of training for a variety of different adult audiences on a range of security or similar topics
Responsibilities include the use of modern crime prevention techniques to mitigate crime risk on campus
Incumbent must demonstrate above average communication skills and problem solving skills. Duties include serving as functional representative of hospital as needed; must be able to affect and/or modify actions of others where considerable empathy and perceptiveness are required to analyze individual circumstances and determine most appropriate course of action. This requires familiarity with applicable ADA standards, TJC and CMS standards and familiarity with labor law as it relates to employee rights to privacy, collective activity, etc
Responsibilities may involve performance of specialized or technical procedures requiring familiarity with relative broad range of methods and techniques. Also may involve participation in planning activity at the department level, or the development of solutions to specific problems requiring analysis and complex decision-making where errors in technique or judgment would be extremely difficult to detect
Functions independently within a broad scope of established policies and goals. The ability to maintain a high level of confidentiality regarding security issues is required
Ability to work in sometimes fast paced and stressful situations

Manager of Special Investigations Resume Examples & Samples

Perform preliminary assessment of reported matters
Develop a comprehensive internal investigation plan, including identifying an appropriate investigation team
Assess and conclude whether legal holds notices are required
Identify requirements for preservation of evidence and assure compliance
Conduct the investigation in a professional and non-biased manner
Identify and assess whether recoveries are possible
Conclude and report to appropriate audiences
Participate in audit projects in accordance with professional standards in the planning and execution, and in the accumulation of evidentiary data
Perform auditing work in the Company’s organizational and functional activities
Design comprehensive and practical audit coverage considering degree of risk, significance and frequency of the audit area
Participates in defining the audit’s scope. Completes documentation, summary of controls, audit program, working papers, and audit reports
Draft preliminary issues and audit reports and, along with the lead auditor for the assigned project, discusses the reports with appropriate management
Minimum of 3 years investigative experience
Audit experience with large property casualty insurance company(s) and /or Big 4 CPA Firm
Certified Fraud Examiner (CFE) certification
Experience with property casualty insurance
Certified Internal Auditor (CIA)
Experience in Forensic Accounting

Investigations & Case Manager Resume Examples & Samples

Intelligence community and / or Investigations experience
Ability to manage and assess the credibility of investigators & sources within legal and ethical framework
Ability to collect and assess credibility of data and to set and prioritise strategy off the back of this with stakeholders using appropriate comms, training and policy support
Ability to set strategy and modify response and management of investigations in response to data with demonstrable creativity and previous innovative use of platforms, relationships and methodology
Experience of global stakeholder management and setting and managing stakeholder management plans
Experience of working across multiple cultures and countries where they have faced significant data (lack thereof) and real anti-counterfeit challenges
Experience of managing the demand for scarce resources versus their supply
Experience of engaging stakeholders to ensure appropriate data collection and entry locally and observance of evidential chain, including relationships with external government agencies
Experience of liaison and collaboration and appropriate sharing with institutes and MNC peers
Ability to impact on multiple areas of business, particularly vaccines, pharmaceuticals and consumer, including senior leadership up to Board level; as anti-counterfeit is a significant challenge and a threat to revenue and patient safety
Masters degree specialising in Geography, History, Cultural Studies, Asian Studies, Languages, International Relations, Intelligence or Investigations
Evidential Chain experience desirable
Cultural experience of Asia ideal
Proactive intelligence investigations
Disruption of counterfeiters
Collection and analysis of data
Case triage
Investigation platform management
Evidential chain compliance
Setting anti-counterfeit strategy now and in future
Intelligence requirements setting, tasking, debriefing, assessment, dissemination & review
Managing 3P Investigators and government agency relationships, to coordinate data collection, prioritise resource investment, present RoI to the BUs and to dynamically refocus strategy in support of proactive intelligence-led anti-counterfeit investigations and / or intelligence investigations

Manager, Investigations Resume Examples & Samples

Lead internal and external teams (outside contractors/vendors) who have similar technical or functional responsibilities
Institute system to track and report status of all active investigations at any given time
Develop and institute KPIs with input from investigation team and other key stakeholders
Develop staff capabilities, including both technical and soft skills
Assign tasks, review work, and write and deliver performance appraisals
Foster collaborative relationships focused on high quality investigations, meaningful corrective/preventive actions and the reduction of deviation generation rate
Set up and run meetings with cross functional teams
Participate in regulatory inspections
Present and defend investigations during regulatory inspections, as required
Participate in the development and/or revisions of procedures
Ensure deviations are closed in a timely manner to meet business and compliance needs
Own and author deviation investigations
Work with subject matter experts and Quality approvers to determine the breadth and scope of investigations to identify the appropriate root cause, preventive actions, trending analysis, and recommend product disposition
Conduct personnel interviews to determine root cause of investigations
Train and/or participate in identifying training needs and opportunities for Investigation Writers. Coach and train new staff on the investigation process
Team with Operations, Quality and Supply Chain to swiftly close deviations and determine appropriate corrective and preventative actions (CAPA)
Fully support all HS&E initiatives and actively participate in site safety teams to attain/exceed business goals
Adhere to all applicable procedures, cGMP’s, company policies, and all other quality or regulatory requirements (OSHA, DEA, FDA, EMEA, ANVISA, HS&E, etc.). Ensures all work is performed in a safe, effective manner, and in compliance with the appropriate industry and regulatory (FDA, DEA, OSHA) standards, and Departmental, Plant, and Corporate quality and Behavioral Based Safety (BBS) goals

Internal Investigations Senior Manager Resume Examples & Samples

Coordinate and conduct all the investigative activities related to the investigation (including organisation of meetings, travel arrangements and support to the Audit/ Investigation Director on budget management). Manage the timely progress of the investigation
Effectively manage the communication flow with the affiliate LT, the regional Compliance function, the coordinators and Internal Investigations Director
Ensure the application of professional investigating principles, standards and internal guidelines by the Internal Investigations team to conduct investigations
Overall responsibility for preparing a comprehensive and detailed Investigations report and delivering an executive summary which is concise and to the point
Inform the regional compliance and the local affiliate of the findings at the end of the investigation

BSA / AML Investigations Assistant Manager Resume Examples & Samples

Ensures BSA, USA PATRIOT ACT, and BOW compliance and oversight as it relates to
Identifies and recommends enhancements to workflow inefficiencies
Maintains, updates, and ensures adherence to policies and procedures
Conducts regularly scheduled training and information sharing on relevant corporate and AML related issues and changes
Serves as subject matter expert on BSA/AML related questions and provides guidance and leadership to Senior Investigators and Analysts
Communicates directly with branch personnel and department managers, internal audit department, government or law enforcement agencies, outside service vendors and other financial institutions as outlined in the 314(b) provisions when appropriate
LI-NR1
Required license(s) or certification(s) CAMS, CFE preferred
4 – 6 year’s experience involving financial research, AML analytical software, AML investigations, law enforcement agency, regulatory agency or fraud or loss management departments within the financial industry
2 – 5 year’s experience managing, training or conducting quality assurance within the financial industry
Alternative: Combination of education and experience (years /description) Minimum 3 years college accreditation

Manager, Aml-sar Investigations Resume Examples & Samples

Oversee a team of SAR Analysts who research, analyze, and investigate high risk account behavior for potential Money Laundering or Terrorist Financing related suspicious activity in accordance with Intuit policies and procedures
Must have experience with investigations in correspondent banking
Provide quality assurance analysis and reviews
Deliver timely and effective feedback to SAR Analysts
Monitor, Measure, and Manage progress of each SAR Analyst
Reviewing triggering activity in transaction monitoring systems/reports
Verifying customer risk rating in Intuit systems
Performing transactional review and analysis
Performing Negative Media scan using tools such as Internet search engines and LexisNexis
Retrieving and Reviewing customer documents (onboarding documents, check images, etc.) from Intuit systems to support case
Helping to prepare electronic case files with complete and accurate data
Assist in determining whether a SAR should be filed and drafting narrative for each case substantiating the decision/recommendation
Manage complex cases involving matters such as multiple relationship accounts, tiered and multi-faceted transactions; international activity involving Intuit designated high risk jurisdictions, and complex structuring schemes
Partner with Intuit staff, as necessary, in researching and investigating cases
Make recommendations for closing customer accounts/relationships based on investigation
Work with Sr. Compliance Program Manager to collate metrics and other data as requested
Drive results through collaboration and manage through influence to gain consensus and move issues and concerns forward
6+ years in AML compliance, AML regulatory, AML audit or related experience
Experienced compliance professional with a strong understanding of Anti-Money laundering regulations and their application to financial services businesses. Specific expertise of Transaction Monitoring and SAR decision making process is required
Knowledge of Trade Services and AML Trade based red flag is highly desired
Experienced in developing, leading and completing projects with risk/compliance testing components
Ability to evaluate and interpret information and reach logical fact-based conclusions
Self-starter who is organized and has the ability to work independently, with minimal supervision
Strong team player with demonstrated ability to influence and collaborate with peers and business leaders
Strong ability to manage priorities to meet deadlines
Experience in dealing with merchant based business solutions
Data mining and knowledge of technology is desired
Certification from the Association of Certified Anti- Money Laundering Specialists (ACAMs) preferred
Bachelor’s Degree required

Manager Anti-money Laundering Investigations Resume Examples & Samples

The AML Investigator will also provide telephone/e-mail guidance to LoB or relevant stakeholders where appropriate
Basic knowledge of proceeds of crime legislation, associated AML regulation and guidance and STR filing (consent and intelligence) processes. ACAMS/ICA Diploma preferred
Knowledge of e-discovery, internet open source research preferred
Good communicator with strong inter-personal and presentation skills

Manager AML Investigations Resume Examples & Samples

The job holder is part of a is a part of team consisting of Investigators, Team Leaders, and Senior Managers
Experience in the financial services industry, ideally from universal banking
Numerate, evidence based analytical skills founded on an empirical base

Manager, Investigations & Disclosures Resume Examples & Samples

Undertake and independently investigate possible violations of international trade compliance regulations or policies and procedures
Develop and execute a strategic investigative plan to tight deadlines, involve multiple stakeholders, and collect and analyze various records and potentially a large volume of data
Identify and advise on key compliance issues, define the proper scope of the review, conduct thorough and precise investigations that determine true root causes, and develop strong corrective actions
Draft well written, comprehensive, and concise voluntary disclosures and reports to disclose compliance errors to various government agencies in the U.S. and other countries
Collaborate with business, stakeholders, and within Trade Compliance organization regarding investigations and associated action items
Maintain investigation files, including correspondence, records, and submissions, as well as update the Compliance Case Management System
Communicate and partner with the corrective action team for follow-up and verification of remediation activities
Understand and live by Esterline's ethics and business conduct policies
Ability to engage in frequent travel in the U.S. and less frequent travel outside of the U.S
Working knowledge of U.S. export and import regulations, including ITAR, EAR, and OFAC
Experience leading independent investigations is preferred
Must have strong writing, speaking, and presentation skills and provide writing samples
Ability to work in highly dynamic, sometimes ambiguous environments with multiple competing priorities and under stringent deadlines
Must have strong project leadership experience and ability to work with global, multi-cultural teams
Fluency in English is required, French is helpful
Willing to travel, including some international travel
Bachelor's Degree required; Master's degree or J.D. highly desirable
Minimum of 5 years in a global corporate environment, preferably within the Aerospace & Defense sector. Alternatively, 5 years in government enforcement experience relating to international trade
Preferred U.S. export compliance and U.S. Federal Contracting experience
Computer skills must include Microsoft Project and Office products; experience with OCR EASE a plus

Senior Manager Investigations Resume Examples & Samples

Conducts internal investigations relating to alleged violations of the Abbott Code of Business Conduct (and other policies and procedures) for matters that are less complex than those handled by Directors
Assists in intake and analysis of new reports, including identifying potential legal and policy issues and recommending appropriate investigators
Identifies gaps in the company’s policies, procedures, and training that become apparent during investigations, and participates in corrective action discussions
Works with employees at various levels of the organization to obtain relevant information, review and analyze documents, interview witnesses, and participates in decision-making on the outcome of internal investigations and follow-up actions
Drafts reports of investigative findings
Assists Head Investigations, Office of Ethics and Compliance, India with risk assessments, trend analysis, and compiling audit responses
Reports to Head Investigations, Office of Ethics and Compliance, India
Operates independently with well-defined expectations, checking in with supervisors
Provides guidance and direction to Investigations Clerk
Interacts with employees and managers at all levels of the organization

Manager, Investigations Resume Examples & Samples

Effective leadership capabilities; uncompromising integrity and ethics; and a demonstrated ability to deliver global security excellence to ensure that Investigations and Counterintelligence organization continues to set industry wide standards
Ability to handle multiple tasks and priorities in a highly dynamic environment
Knowledge of the NISPOM (National Industrial Security Program Operating Manual)
Proficient in conducting criminal investigations, have a familiarity with criminal and employment law, evidence collection and retention, interviewing and interrogation
US Government or corporate counterintelligence experience
Excellent oral and written communication skills, excellent investigative report writing ability, and proficient in providing court testimony
Working knowledge of network and system auditing (e.g. Windows, UNIX)
Proficient with PC and computer program skills which focus on security features implementation, auditing and monitoring
Documented training in information systems security courses and/or certification as an Information Systems security professional or other relevant Information Systems professional certification is highly desirable
B.A./B.S. in fields such as Information Systems, Business Management/Administration, Criminal Justice Administration. Industrial Security or other related and 10 years related work experience

Manager, Background Investigations Resume Examples & Samples

Primary focus is to conduct thorough, accurate and compliant pre-employment screening of all HSBC Canada personnel
The incumbent is relied upon to provide advice and direction in a diverse number of situations often of an urgent nature. While normal reporting lines are in place, it is often necessary to respond to a number of different Executives, Branch Managers and outside agencies, all of whom believe their problem requires priority
Resolve issues as required and escalate problems to a higher level when appropriate
Participate in quality, regulatory and compliance training in order to meet performance targets
Sundry duties as assigned
Minimum of five years proven and progressive operational experience or equivalent
Minimum of post-secondary degree or equivalent experience
Proven organizational, planning, analytical, problem-solving, customer service and communication skills
Strong organizational skills; ability to set priorities, manage multiple projects/programs simultaneously and meet multiple deadlines
Capability of intuitive reasoning in reviewing sets of facts, establishing important criteria and developing an action plan resulting in a satisfactory conclusion
Knowledge of operational policies and procedures for assigned area