Senior Investigator Regulatory Investigations

Transcription

1 Senior Investigator Regulatory Investigations Regulatory Services, Policy, Regulatory and Ethnic Communities Branch The purpose of the Senior Investigator role is to contribute to improved compliance outcomes by: leading high quality regulatory investigations into serious, complex, deliberate and harmful noncompliance across Gambling, AML and CIPU functions and achieving timely and successful outcomes demonstrate leadership in their understanding and application of best practice investigative tools and practices to achieve successful investigative and prosecution outcomes Reporting to: Team Leader / Manager Regulatory Investigations Location: Wellington Salary range: Regulatory H ($74,085 - $100,232) What we do matters our purpose Our purpose is to serve and connect people, communities and government to build a safe, prosperous and respected nation. In other words, it s all about helping to make New Zealand better for New Zealanders. How we do things around here our principles We make it easy, we make it work Customer centred Make things even better We re stronger together Work as a team Value each other We take pride in what we do Make a positive difference Strive for excellence Working effectively with Māori Te Aka Taiwhenua our Māori Strategic Framework enables us to work effectively with Māori. We accept our privileged role and responsibility of holding and protecting the Treaty of Waitangi / Te Tiriti o Waitangi.

2 What you will do to contribute Investigations Work Programme The Senior Investigator will be responsible for contributing to the successful delivery of the Regulatory Investigation Unit s work programme Carrying out and/or leading and/or co-ordinating regulatory investigations into serious, complex, deliberate and harmful non-compliance across Gambling, AML and CIPU to achieve timely and successful prosecution outcomes Undertaking the initial assessment of cases to determine their strengths and weakness and to inform robust recommendations and evidence based decisions on whether to pursue investigations and prosecutions Developing individual case plans incorporating a clear definition of the objectives to be achieved, the approach to be followed and the methods to be applied in investigating and prosecuting cases Applying best practice investigation methodologies and techniques Ensuring that their case load of investigation and prosecution files are supported from an evidential, legal and policy context Delivering high quality file management of investigations including the preparation of correspondence, court files/briefs of evidence and relevant supporting documents and information Providing timely and quality reports on the progress of investigations and prosecutions Mentoring and providing support and on the job coaching to Investigators on best practice investigative approaches Risk Management Understand the commitment the Department has made to be a responsive Regulator and actively manage risks around reputation and integrity Monitor and report on the risks associated with investigations and prosecutions and work with the Lead Investigator, team leaders and the Manager Regulatory Investigations to develop and implement effective risk mitigation strategies and achieve successful outcomes. As a result we will see Robust, considered and timely recommendations are made to the Manager on investigative work carried out by the Unit. The Manager receives timely alerts to any real or potential risks relating to the investigations carried out by the Unit. Successful investigations and prosecutions that achieve the Unit s outcomes. Risks identified and managed in all investigations and prosecutions. Risks identified are communicated to Supervisor and strategies in place to deal with them for successful outcomes. Page 2 of 5

3 What you will do to contribute Compliance Analysis Contribute to the identification, collection and sharing of intelligence related to people, events and organisations within the Unit and across Regulatory Services Utilise intelligence and analysis capability within Regulatory Services to inform and achieve high quality, timely and successful investigative services and outcomes Relationship Management Build effective working relationships with mangers and team leaders in Gambling and AML in order to facilitate an informed, coordinated and consistent approach to investigations across the Group and strengthen the Department s ability to achieve strategically significant compliance outcomes Maintain appropriate relationships with external agencies such as Police, Serious Fraud Office and IR to obtain their support and cooperation on serious and complex investigations As a result we will see Gambling and security information and intelligence is appropriately recorded and shared. Effective working relationships with internal and external stakeholders that assists each stakeholder achieving their outcomes. Innovative approaches are developed and implemented that align with responsive risk based regulation. Corporate Responsibilities Use resources responsibly for the benefit of the Group and the Department Participate in Department, Group and Unit development initiatives Undertake appropriate professional development; maintain currency of professional expertise in order to maintain or build credibility Undertake other tasks that the department may reasonably require Contribute to the promotion and effective implementation of changes to policy and procedure for the benefit of the department Health and safety (for self) Work safely and take responsibility for keeping self and colleagues free from harm Report all incidents and hazards promptly Know what to do in the event of an emergency Cooperate in implementing return to work plans Active participation in initiatives across the Department and business units. Up to date procedures being used and professional development is ongoing and current. A safe and healthy workplace for all people using our sites as a place of work. Health and safety guidelines are followed Page 3 of 5

4 Advise Collaborate with Influence Inform Manage/ lead Deliver to Who you will work with to get the job done Internal Manager Regulatory Investigations Team leader Lead Investigator and Forensic Accountant Senior investigators / investigators Legal Services Other Regulatory Services management and staff External Enforcement agencies e.g., SFO, Police Your delegations Human Resources and financial delegations Direct reports Your success profile for this role At DIA, we have a Capability Framework to help guide our people towards the behaviours and skills needed to be successful. The core success profile for this role is Specialist Keys to Success: Problem solving Critical thinking Interpersonal savvy Navigating complexity Communicating with influence Technical and specialist learning None None What you will bring specifically Experience: Demonstrated ability to manage complex long term investigation projects using appropriate intelligence and file management techniques Experience in preparing cases for Court, managing witnesses, exhibits and giving evidence Demonstrated knowledge and experience of regulatory and compliance functions and purposes Proven relationship development skills and the ability to deal with stakeholders and clients in a professional, tactful and diplomatic manner. Knowledge: Knowledge and a sound understanding of regulatory and compliance functions and purpose. Skills: Demonstrated high level skills in complex investigation/analysis processes Ability to interpret and apply legislation, and other technical information, to achieve desired outcomes Page 4 of 5

5 Your success profile for this role What you will bring specifically Demonstrated high personal integrity, an ability to work individually and in teams, and be results orientated. Acknowledge and manage the impact of our investigation on immediate families and third parties, in a professional manner. Excellent oral and written communication skills. Willingness and flexibility to take on other roles and activities within the group. Ability to interpret legislation and other technical information. Other requirements: A tertiary qualification or equivalent experience relevant to investigation, accounting or legal areas is required. The appointee will be subject to police and credit clearance and an appropriate level of security clearance before an appointment is made. Page 5 of 5