Compliance Investigator Onboarding Checklist

Compliance Investigator Onboarding Process

Are you looking for help setting up a staff orientation process so that when your new Compliance Investigator starts their role, they can learn about their responsibilities and your company as quickly as possible? Whether you’re keen to use buddy onboarding, want to automate your Legal onboarding experience or just need an onboarding checklist for your new Compliance Investigator, you’re in the right place. We’ve put together a sample Compliance Investigator onboarding checklist below and have created onboarding templates & resources to help.

Compliance Investigator Onboarding Checklist

1. Introduction to company policies and procedures: The compliance investigator should receive a comprehensive overview of the company’s policies and procedures, including the code of conduct, ethics guidelines, and regulatory requirements. This task is typically performed by the compliance department or a designated compliance officer.

2. Familiarization with legal and regulatory frameworks: The investigator needs to understand the relevant laws, regulations, and industry standards that govern their work. This includes studying legislation such as the Foreign Corrupt Practices Act (FCPA), Anti-Money Laundering (AML) regulations, and data protection laws. The task of providing this information is usually assigned to the compliance department or legal team.

3. Training on investigative techniques: To effectively carry out investigations, the investigator should receive training on various investigative techniques, such as conducting interviews, gathering evidence, and analyzing data. This training may be provided by experienced investigators within the company or external consultants specializing in investigative skills.

4. Introduction to internal reporting systems: The investigator should be familiarized with the company’s internal reporting systems, such as whistleblower hotlines or incident reporting platforms. They should understand how to use these systems to receive and document reports of potential compliance violations. The compliance department or a designated reporting officer typically handles this task.

5. Shadowing experienced investigators: To gain practical knowledge and learn from experienced professionals, the new investigator should have the opportunity to shadow and observe ongoing investigations. This task is usually coordinated by the compliance department or assigned to a senior investigator.

6. Review of past investigations and case studies: The investigator should review past investigations and case studies to understand the types of compliance issues that have arisen in the company and how they were resolved. This can provide valuable insights into patterns, trends, and best practices. The compliance department or a designated mentor may facilitate this task.

7. Introduction to key stakeholders: The investigator should be introduced to key stakeholders within the company, such as legal counsel, human resources, finance, and senior management. This helps establish relationships and ensures collaboration when conducting investigations. The compliance department or a designated supervisor typically arranges these introductions.

8. Collaboration with other departments: The investigator should collaborate with other departments, such as internal audit, risk management, and IT, to ensure a holistic approach to compliance. This may involve attending cross-functional meetings, sharing information, and coordinating efforts. The compliance department or a designated supervisor facilitates this collaboration.

9. Review of relevant company documents: The investigator should review relevant company documents, such as contracts, policies, financial records, and employee handbooks, to gain a deeper understanding of the organization’s operations and potential compliance risks. The compliance department or legal team provides access to these documents and guides the review process.

10. Ongoing professional development: Continuous learning and professional development are crucial for compliance investigators. The investigator should be encouraged to attend relevant training programs, conferences, and seminars to stay updated on emerging compliance trends and regulatory changes. The compliance department or a designated supervisor supports and encourages ongoing professional development

Setting Up Your Employee Onboarding Process

From reading through the items in the example Compliance Investigator checklist above, you’ll now have an idea of how you can apply best practices to getting your new Compliance Investigator up to speed and working well in your Legal team. Scroll up to see the link to our onboarding templates & resources or get in touch to discuss getting help setting up your systems and processes in this area.