Investigation and Remediation Manager

Lead the investigation, resolution, and remediation of internal complaints and compliance issues across the Agency Distribution organization. Ensure the timely, fair, and thorough handling of cases while driving effective corrective and preventive action plans arising from audits, complaints, and compliance reviews to strengthen the control environment and mitigate organizational risks. In this role, you will oversee end-to-end investigations of internal complaints and compliance breaches, ensuring consistent, objective, and transparent resolution processes.

You will drive the development, implementation, tracking, and closure of corrective and preventive action plans (CAPAs), while identifying systemic issues and opportunities for sustainable improvement to further strengthen governance and risk management practices across the organization. Working closely with Human Resources, Operations, Compliance, Risk, Audit, Legal, and Agency Business Units, you will promote integrity, accountability, and transparency while ensuring the effective resolution and remediation of organizational issues.

Position Responsibilities:  Investigation Management Lead and conduct end-to-end investigations into internal complaints, misconduct cases, and compliance issues. Ensure investigations are handled with objectivity, confidentiality, and fairness. Gather and analyze evidence, conduct interviews, and document findings in a structured manner. Develop clear investigation reports, including root cause analysis and recommendations.

Ensure adherence to internal policies, legal requirements, and regulatory standards during investigations. Complaint Handling & Resolution Oversee the intake, assessment, and prioritization of internal complaints. Ensure timely and effective resolution of complaints, with appropriate escalation and execution of corresponding sanctions, if any. Maintain proper documentation and tracking of complaints and outcomes.

Identify trends and recurring issues from complaints to inform risk mitigation strategies. Compliance Issue Management Manage and resolve internal compliance breaches and control failures. Work with relevant stakeholders to assess impact, determine severity, define remediation actions, and follow through on appropriate sanctions, if any. Ensure issues are addressed in a timely manner and aligned with regulatory expectations.

Corrective Action Plan Management Develop, implement, and oversee corrective and preventive action plans arising from: Internal and external audits Complaint investigations Compliance reviews and incidents Self-identified issues / process gaps Track progress of CAPAs to ensure timely closure and effectiveness. Challenge and validate action plans to ensure they address root causes, not just symptoms.

Escalate overdue or ineffective actions to senior management. Root Cause Analysis and Continuous Improvement Perform root cause analysis to identify systemic weaknesses in processes, controls, or behaviors. Recommend sustainable improvements to prevent recurrence of issues. Partner with process owners and governance teams to embed improvements. Governance, Reporting and Documentation Maintain centralized tracking systems for investigations, complaints, compliance issues, and CAPAs.

Provide regular management reporting on case status, trends, risks, and remediation progress. Prepare reports for governance committees, audit, and senior stakeholders. Ensure audit-ready documentation and transparency across all cases and actions. Stakeholder Management Collaborate with HR, Operations, Legal, Compliance, Risk, Audit, and Agency business unit teams. Act as a trusted advisor on investigation outcomes and resolution approaches.

Facilitate discussions to ensure alignment on corrective actions and accountability. Risk and Control Strengthening Identify emerging risks and control gaps from investigations and complaints. Support strengthening of internal controls and compliance frameworks. Promote a cult