Senior Background Review Investigator - Compliance

Do you have experience conducting investigations or reviewing background checks? Are you detail oriented, an efficient communicator, and experienced in assessing risks and making effective decisions? If so, you may be a fit for a role in Compliance-Background Review! Senior Background Review Investigators support the firm's strategic ambitions related to growth by conducting background checks on applicants who have received an offer of employment.

This role is responsible for conducting individualized assessments of candidates in partnership with other areas of the firm, vendors and the applicant while detecting and mitigating risk to the firm.

What You'll Do

Responsible for ensuring suitability for employment of all Financial Advisor, Branch Office Administrators, HQ, and CWF candidates in both the US and Canada by conducting an individualized assessment/investigation using all information obtained during the background review. This role requires knowledge of and the ability to apply EEOC; the Fair Credit Reporting Act; state, local, and international employment ordinances; federal and state criminal and civil codes; employment law; insurance; FINRA and CIRO regulations related to background reviews, regulatory filings, employment rights, privacy, adverse action, statutory disqualification, or other employment disqualifications.

Works directly with candidates, vendors, other business areas of the firm, associates, and regulators to ensure initial, ongoing and post disclosure background reviews are completed within department policies and processes. Responsible for identifying and reviewing court documents, police reports, credit reports, tax documents, employment documents, candidate statements, and other documents required to conduct an individualized assessment.

Based on the outcome of the review and analysis conducted, determine whether regulatory disclosures must be made. Responds to FINRA Department of Justice and Disclosure Letter inquiries accordingly. This includes researching relevant local and state laws and determining reportability. Makes hiring decisions to approve or deny candidates after completing individualized assessment.

Also rescinds employment offers as needed. This role requires a high level of confidentiality, strong documentation, decision making, and investigation skills; as well as project involvement in department and/or division initiatives. Training and developing new background review investigators. Knowledge of internal, external and third-party systems.