Job Abstract

1. Investigates, analyzes, manages, and resolves conflict of interest disclosures, including conducting interviews and collaborating with team members, supervisors, executives, HR, and the San Manuel Tribal Gaming Commission, as required. Manages the conflict reporting and resolution process, including the electronic platform; interprets information and evidence from all sources; conducts pertinent analysis; prepares clear, concise, factual reports that enable fair and relevant decisions to be m... more details

The Compliance Investigator is a critical role within the Enterprise Legal Compliance department. Under the direction of the VP, Enterprise Legal Compliance, the Compliance Investigator, either individually or in collaboration with department stakeholders, identifies, researches, analyzes and/or resolves potential conflicts of interest; conducts complex vendor due diligence and compliance investigations; and manages all related data and recordkeeping. The Investigator accurately and confidentially conducts research and/or investigations that may be multifaceted and involve complex facts and circumstances, in accordance with Tribal policies and procedures. The Investigator is involved with evaluating and enforcing compliance with applicable laws, regulations, policies and rules; collecting and analyzing evidence; and preparing detailed, concise and accurate reports. To perform these tasks, the Investigator will utilize their knowledge and experience in legal compliance to make sound judgment calls in highly subjective circumstances.

Essential Duties & Responsibilities

2. Manages team member incident reporting hotline and internal investigation process. Triages and escalates reported cases for investigation by the appropriate department in accordance with San Manuel investigation protocols. Conducts investigations of alleged violations of San Manuel’s ethical standards or non-compliance with applicable laws, regulations and policy, including conducting interviews, developing facts, securing evidence and interpreting data from all sources, with input from the VP Enterprise Legal Compliance as necessary. 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. Recommends proactive measures that will reduce the risk of similar future incidents. Prepares clear, concise, factual reports that enable fair and relevant decisions to be made and ensures thorough, proper documentation.

3. Evaluates and conducts risk-based due diligence investigations on all San Manuel vendors and other third-party business partners that present a moderate to high level of compliance risk, collaborating with the VP Enterprise Legal Compliance as necessary. Manages the compliance vendor due diligence process, including the electronic platform. Researches vendors through a variety of compliance and database systems; interprets information and evidence from all sources; conducts pertinent analysis; prepares clear, concise, factual reports that enable fair and relevant decisions to be made; and ensures thorough, proper documentation.

4. Prepares compliance data for analysis and reporting, and assists VP Enterprise Legal Compliance to issue spot, conduct trend analysis, and identify new and improved methods and metrics for reporting.

5. Provides assistance, guidance and support for other compliance program initiatives as may be requested by the VP Enterprise Legal Compliance, including continuous improvement of policies and procedures and development of an enterprise-wide speak up culture.

6. Performs other duties as assigned to support the efficient operation of the department.

Education/Experience/Qualifications

Bachelor’s Degree from an accredited college or university in Compliance, or in a related field required.
Minimum five (5) years prior experience conducting Compliance, Conflict of Interest, and Due Diligence investigations with a demonstrated track record of identifying and resolving compliance risk required.
Related, relevant, and/or direct experience may be considered in lieu of minimum educational requirements indicated above.
Strong understanding of compliance program standards and internal investigation process.
Strong experience with compliance-related disclosure / resolution systems, data analysis, and reporting design.
Strong interviewing and research skills and proficiency in the use of technology to compile clear and concise investigative reports according to established procedures.
Strong technical verbal and written communication skills with the ability to simplify terminology that a non-technical end-user and/or senior executive can understand.
Experience working with Microsoft Excel, Word, and PowerPoint.
Experience working with MS Project and/or comparable project management tools.
Must be able to work with minimal supervision and collaborate with all levels of team members including executives and cross-functional teams.?
Out-of-the-box thinker who is passionate about writing and energized by the challenge of digging into complex and multi-business unit information and turning it into engaging and useful content.?
Must have experience demonstrating the utmost discretion and confidentiality, as incumbent will have access to confidential information including, but not limited to organizational and vendor financial data.

Certificates/Licenses/Registrations

At the discretion of the San Manuel Tribal Gaming Commission, you may be required to obtain and maintain a gaming license.

San Manuel Band of Mission Indians will make reasonable accommodations in compliance with applicable law.

As one of the largest private employers in the Inland Empire, San Manuel deeply cares about the future, growth and well-being of its employees. Join our team today!

Search Terms: Compliance, Enterprise, Legal, Investigator, VP

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