Security & Risk Management Seminar

Conducting Investigations: An Orientation

Presentation Abstract

If you are your institution's Security Officer, one of your most important duties is to protect the image and integrity of the institution -- and its employees. Developing, administering and monitoring a comprehensive event investigation process should be an integral part of your Security Program. Whether you are the institution's Security Officer, an executive officer, a business unit or branch manager -- or a supervisor of only one employee -- you may become responsible for conducting an investigation. There are two, very simple goals for every investigator -- to find the truth and to determine the responsibility for results.

Conducting any kind of an investigation can be risky. Conducting an investigation that involves people’s character, finances and relationships may change the lives, careers and relationships among all of the participants forever. This presentation is designed especially for those people who are responsible for investigating and documenting events for financial institutions: compliance officers, security officers, auditors and operations managers. The crime of embezzlement -- one of the most frequent and misunderstood offenses -- is given special attention. The seminar components focus upon six key functions that your institution's investigator must consider when conducting either a criminal or non-criminal investigation, including:

l         Identifying and interviewing victims, witnesses, informants and suspects

l         Gathering and cataloging appropriate evidence

l         Documenting the facts and opinions gathered during the investigation

l         Assisting law enforcement agencies in the speedy apprehension of offenders

l         Working with your legal counsel to prosecute offenders -- civilly and criminally

l         Recovering funds and investigative costs

This presentation provides a logical and strategic model that's designed to help Security Department and other personnel understand the true scope of the processes used to conduct professional, comprehensive and effective investigations. By understanding the cause and effect relationships between the investigator's strategy and the investigative result, the investigator may use this model to design and implement a standardized, institution-wide investigative process that is appropriate for all types of events that an institution encounters daily.

Presentation Topics

l        What Are The Most Common Types Of Events That Require Investigation?

l        What Are The Components Of An Investigation?

l        What Are The Investigator's Responsibilities?

l        What Is The Investigator's Skill-set?

l        What Are The Initial Investigative Process Components?

l        What Is The Continuing Investigative Process?

l        How Should I Plan My Investigative Strategy?

l        How Do I Justify Further Investigation?

Presentation Objectives

This presentation is designed to help you:

l        Determine each investigator's duties and responsibilities -- legal, moral and ethical

l        Comply with current regulations and emerging practices affecting industry standards of care for investigators

l        Develop an investigation policy and procedure that makes the best use of the institution's resources

l        Locate and understand the significance of the primary sources of information that are accessible to the investigator -- including physical evidence and testimony

l        Prepare reports that will likely be examined in either civil or criminal actions

l        Determine how you can apply the same investigative strategy to other functions that are not security-related

Presentation Audience

l        Security Officers

l        Security Assistants

l        Auditors

l        Human Resources Managers

l        Compliance Officers

l        Retail Operations Managers

Presentation Tools

l        Workbook text

l        Sample investigative report

l        Investigator's forms and templates

Last updated on January 16, 2008