Essential Skills of an Effective Compliance Investigator

Conducting effective internal investigations is an acquired skill; you’ve got to think like James Bond. Some organizations are large enough to employ a professionally trained investigator, a sort of professional compliance secret agent. Can’t hire a pro? Then, the person conducting your investigations needs the right tools and resources for killer investigation training.

Some of the important skills an effective investigator should learn include:

• Planning—before beginning an investigation, develop a plan and be willing to adjust the plan as necessary. You never want to blindly leap into any investigation.
• Asking questions—learning which questions are most appropriate to ask and which questions elicit the most insightful information is an essential skill to learn. Use neutral, non-emotional wording. Think, spy interrogation.
• Separating fact from opinion—as investigations proceed, a lot of information will be shared with the investigator, some of it will be opinion and some of it will be verifiable facts. A good investigator trains themselves to filter out opinions and work around black propaganda.
• Know when to rely on others—there will inevitably be a time when the investigator must rely on the knowledge or skill sets of others. Know what is and isn’t within your area of expertise. Sometimes, carrying out your mission takes a group, like The Charlie's Angels.
• Documentation—skillful and organized documentation throughout the investigation is essential. You need hard evidence. If these are weaknesses in an investigator, seek the appropriate training.

Remember, just having a compliance program is not enough. In order to prove your compliance program is effective, you need well-documented rules and a corrective action plan in place. Download our eBrief, “Mission Critical: Conducting Compliance Investigations” to keep your compliance program on the level.