Description
Investigate potential violations of laws, regulations, and organizational policies; collect and analyze evidence, interview involved parties, and conduct inspections; document findings and recommend corrective or enforcement actions to ensure regulatory compliance.
- • Perform tests and observe operations to evaluate control effectiveness.
- • Prepare notices of findings and correspondence on case status and appeal rights.
- • Triage complaints and identify issues requiring investigation or follow-up.
- • Stay current on regulatory changes, enforcement trends, and best practices.
- • Coordinate with internal teams, auditors, and regulators during reviews.
- • Assess whether policies and procedures are documented, implemented, and communicated.
- • Track corrective actions and verify remediation is completed.
- • Issue notices of violation and explain potential penalties to subjects.
- • Review records, transactions, and systems to assess compliance and liability.
- • Advise business units or regulated parties on obligations and corrective actions.
- • Prepare investigative reports, findings, and recommendations.
- • Refer substantiated violations to appropriate enforcement authorities.
- • Interview complainants, witnesses, and experts to establish facts.
- • Recommend enforcement actions or remediation based on evidence.
- • Collect, document, and preserve physical and digital evidence with chain-of-custody.
- • Conduct site inspections and walkthroughs to verify compliance.
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Tasks & skills:
O*NET occupational data (work activities, skills, knowledge).
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This site includes information from O*NET by the U.S. Department of Labor, Employment and Training Administration (USDOL/ETA), used under the CC BY 4.0 license. Career Clutch has modified some of this information for student readability. USDOL/ETA has not approved, endorsed, or tested these modifications. O*NET® is a trademark of USDOL/ETA.
Last reviewed: Jan 2026
