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Compliance investigator skills for your resume and career

Updated January 8, 2025
8 min read
Below we've compiled a list of the most critical compliance investigator skills. We ranked the top skills for compliance investigators based on the percentage of resumes they appeared on. For example, 10.2% of compliance investigator resumes contained federal laws as a skill. Continue reading to find out what skills a compliance investigator needs to be successful in the workplace.

15 compliance investigator skills for your resume and career

1. Federal Laws

The laws formed and upheld by the federal administrating body of a country are known as federal laws. A federal administrating body or government is formed by a political party after being elected by the general public.

Here's how compliance investigators use federal laws:
  • Conduct investigations regarding violations of state and federal laws pertaining to discrimination in employment, housing and public accommodation.
  • Produced charges of discrimination based on analysis of allegations by complainants and application of state and federal laws.

2. Law Enforcement

Law enforcement is the task of certain members of the community who work together to uphold the law by identifying, preventing, rehabilitating, or prosecuting others who break society's laws and norms. The phrase refers to the police, the judiciary, and the correctional system.

Here's how compliance investigators use law enforcement:
  • Assisted local and federal law enforcement officials in the prosecution of individuals suspected of internal fraud.
  • Escalated high-risk activity to AML Management for possible law enforcement and/or regulatory referrals.

3. Management System

A management system is a set of policies, processes, and procedures taken by an organization or a business to ensure it can fulfill its tasks and achieve its objectives. A management system makes sure that the company excels financially and improves the user experience. The management system also takes care of the worker's and employees' needs and manages their workload and oversees their performance. Apart from interior matters of the company, a management system also deals with exterior matters like legislations, tax matters, and law issues.

Here's how compliance investigators use management system:
  • Ensured compliance of Environmental Protection Agency's operations, safety and waste management systems within the HSE protocols.
  • Document and report the investigation findings in the case management system.

4. Conduct Investigations

Here's how compliance investigators use conduct investigations:
  • Conduct investigation in conjunction with the Office of Inspector General when working Medicare/Medicaid fraud.
  • Conduct investigations into alleged or suspected misconduct by licensed members of applicable board.

5. Ethics

Ethics is a branch of knowledge that involves recommending, defending, and systemizing aspects of right and wrong behavior.

Here's how compliance investigators use ethics:
  • Work closely with Compliance Officers, Ethics Liaison Officer and University management during the investigation process.
  • Serve as liaison with Patient Grievance Committee as Office of Ethics & Compliance representative.

6. Due Diligence

Due diligence refers to the process of auditing, investigating, or reviewing done to confirm the authenticity of relevant facts. In addition to this, it also refers to the evaluation of a party's financial records to determine whether one should enter into a transaction with the said party or not.

Here's how compliance investigators use due diligence:
  • Manage quality control ensuring product accuracy and consistency including; case narratives, suspicious activity reports and enhanced due diligence reviews.
  • Prepared a comprehensive investigative reports containing clear and concise summaries of the information uncovered during the due diligence investigation.

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7. HR

HR stands for human resources and is used to describe the set of people who work for a company or an organization. HR responsibilities revolve around updating employee records and carrying out management processes like planning, recruitment, evaluation, and selection processes. HR is a key contributor to any company or organization's growth as they are in charge of hiring the right employees, processing payrolls, conducting disciplinary actions, etc.

Here's how compliance investigators use hr:
  • Provided HR guidance, advice or assistance to managers, employees or candidates for employment, e.g.
  • Provide advice and counsel to leaders on HR practices, policy, and employment laws.

8. Anti-Money Laundering

Anti-Money Laundering or, as it is often shortened to, AML is the name of a set of laws, regulations, and similar rules and rulings which are crafted and applied with the goal of preventing people from engaging in and successfully doing money laundering.

Here's how compliance investigators use anti-money laundering:
  • Monitor accounts to ensure compliance with BSA regulations and Anti-Money Laundering (AML) legislation.
  • Provide subject matter expertise in the area of Anti-Money Laundering and financial fraud investigations.

9. Medicaid

Here's how compliance investigators use medicaid:
  • Researched employee theft, fraud, Medicaid and Medicare contract compliance and computer security issues.
  • Investigate Medicaid, PeachCare for Kids and State Health Care Benefits fraud.

10. SAR

SAR is a measure of the rate of radiofrequency energy is absorbed per unit mass by a human body from the source being measured. This provides a simple way of measuring the RF exposure of cell phones to confirm if they are within the safety regulations set by the FCC. SSAR is averaged either over the entire body, or a little sample volume that is 1 g/10 g of tissue.

Here's how compliance investigators use sar:
  • Disseminated items appropriate for escalation requiring Suspicious Activity Report (SAR) filing
  • Provided SAR filing recommendation through supporting documentation.

11. Investigation Reports

Here's how compliance investigators use investigation reports:
  • Reviewed and performed initial assessment of newly initiated investigation reports for product impact and to ensure accuracy of documentation using TrackWise.
  • Prepared detailed investigation reports of violations for presentation to the Exchange's Business/Conduct/Disciplinary Committee.

12. Secrecy

Secrecy is the method of hiding data from individuals or groups while disclosing it with other individuals especially if they do not qualify the "need to know".

Here's how compliance investigators use secrecy:
  • Analyzed and accessed Bank Secrecy Act (BSA), AML, and OFAC risk exposure within the firm.
  • Developed and prepared reports utilized to track, identify and inform department management on Bank Secrecy Act compliance performance and activities.

13. FinCEN

Here's how compliance investigators use fincen:
  • Conducted a 90 day review of accounts previously filed on and reported to FinCEN.
  • Review and File Currency Transaction Reports as required by FinCen.

14. BSA/AML

Here's how compliance investigators use bsa/aml:
  • Provide informal and formal training/ guidance to fellow BSA/AML Analysts with customer types or review types where they are less experienced.
  • Escalate EDD cases and/or SARs that do not meet BSA/AML standards to management and follow through to an appropriate resolution.

15. OFAC

Here's how compliance investigators use ofac:
  • Investigated potential AML, KYC and OFAC violations in the Americas and drafted reports of findings.
  • Investigated potential OFAC violations, money laundering, and fraudulent financial activity across client business lines.
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List of compliance investigator skills to add to your resume

Compliance investigator skills

The most important skills for a compliance investigator resume and required skills for a compliance investigator to have include:

  • Federal Laws
  • Law Enforcement
  • Management System
  • Conduct Investigations
  • Ethics
  • Due Diligence
  • HR
  • Anti-Money Laundering
  • Medicaid
  • SAR
  • Investigation Reports
  • Secrecy
  • FinCEN
  • BSA/AML
  • OFAC
  • Compliance Investigations
  • Securities
  • Fraud Investigations
  • Litigation
  • Sops
  • GMP
  • State Laws
  • DOT
  • Compliance Program
  • Compliance Issues
  • Administrative Hearings
  • CAPA
  • Internal Investigations
  • Financial Crimes
  • FDA
  • Federal Regulations
  • HIPAA
  • Real Estate
  • Appeals
  • Transaction Monitoring
  • Subpoenas
  • Financial Transactions
  • Customer Complaints
  • Medicare
  • State Regulations
  • Internal Controls
  • Federal Agencies
  • Arbitration
  • Escalate
  • Regulatory Guidelines
  • Develop Leads

Updated January 8, 2025

Zippia Research Team
Zippia Team

Editorial Staff

The Zippia Research Team has spent countless hours reviewing resumes, job postings, and government data to determine what goes into getting a job in each phase of life. Professional writers and data scientists comprise the Zippia Research Team.

Updated January 8, 2025

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