Compliance Investigator in Seattle, Washington

Compliance Investigator

Amazon seeks an individual to be part of a centralized Enterprise Risk and Compliance team.

Amazon has a diverse set of global businesses, and each business has some level of compliance requirements across multiple areas, including Payments, Trade, Human Resources, Tax, Social Responsibility, and others. While the responsibility for maintaining compliance is with the individual business areas, this team will ensure that an effective compliance program is in place to validate each business has identified their regulatory responsibilities and established effective processes, controls and self-testing to understand current status of compliance and identify gaps. This team may also assist in risk ranking and mitigation of gaps identified throughout the organization.

The Compliance Investigator position relies on judgment to plan and accomplish goals and will work under limited supervision of the Compliance Officer and Compliance leads in ERMC. Individual problem-solving and analytical skills are used to authenticate customers and complex transactions and accounts. Nearly all decisions are expected to be made independently with little to guidance and a high degree of accuracy follow standard operating procedures (SOP’s).

The Compliance Investigator will be required to engage in frequent written and verbal communication with Compliance Officer, ERMC leadership, compliance investigator peers, TRMS operations and other company associates to accomplish goals. They may also be required to contact customers email.

Productivity, quality assurance & timely delivery of individual tasks/projects will be evaluated along with the overall contribution to the development of the functional unit.

This person will liaise with the Enterprise Risk Management and Compliance (ERMC) Team, Transaction Risk Management and support various business units throughout the company. Key responsibilities of the position are:

  • Identify regulatory denied parties screening, OFAC/Sanctions compliance issues/concerns and make suggestions and/or take corrective actions to implement solutions to improve controls/operations;

  • Investigate apparent breaches of regulation/compliance standards, make recommendations as appropriate, and follow-up on implementation of corrective measures;

  • Review and analyze denied parties and OFAC/Sanctions inquiries and potential hits while maintaining compliance requirements across Amazon globally.

    The Compliance Investigator will support the Enterprise Risk Management and Compliance, businesses and partner with TRMS Operations. This position performs a 3rd level review function from escalation decisions that Transaction Risk Management Services (TRMS), audits and outside inquiries, offering guidance, feedback and support for TRMS Investigators and Operations working in Denied Parties and Sanctions compliance investigations. The position will help the business comply with applicable OFAC and other agencies laws and regulations, investigate and mitigate risk, and adhere to company policies and procedures. The Compliance Investigator will work closely with the Enterprise Risk Management and Compliance (ERMC) to manage operational compliance issues.

    Key functions of the role include:

  • Conduct, and perform a variety of investigation types, including, denied parties, sanctions and due diligence.

  • Provide QA denied parties and sanctioned country work conducted by Tier 1 and Tier 2 investigators and provide appropriate feedback to the Compliance Officer, TRMS Operations and investigators

  • Participate in ongoing customer due diligence

  • Work with the Compliance Officer and ERMC investigation team on policy updates, enforcement and escalations.

  • Investigate denied parties and sanctions potential matches that arise from a 3rd party screening solution to support various business units

  • Perform ad hoc screen utilizing a 3rd party screen software provider and investigate the ad hoc denied parties and sanctions potential matches

  • Assist in identifying gaps and training opportunities for escalations that come through the TRMS compliance work flows

  • Assist with denied parties and sanctioned country for new hires, for targeted training to the Investigations team, and as regulations are updated

  • Drive metrics reconciliation with the ERMC leadership

  • Participate in internal audit reconciliation of investigations for denied parties and sanctions

To plan and coordinate operational activities necessary for compliance, the denied parties and sanctioned countries investigations and quality is responsible for the following tasks, knowledge, skills and other characteristics:

  • Possess a college degree and has had hands-on experience in investigations denied parties and sanctioned country operations within a large company or financial services environment.

  • Prior investigation or Compliance experience

  • Basic knowledge of U.S. denied parties and sanctioned country laws and regulations, including the OFAC regulations.

  • A second non-English language is highly preferred

  • Excellent written and spoken English language skills

Amazon is an Equal Opportunity-Affirmative Action Employer – Minority / Female / Disability / Veteran / Gender Identity / Sexual Orientation

AMZR Req ID: 432910