Ethics & Compliance Role - BFSI

Job Description:

The AC Kolkata Ethics & Compliance is a local ethics and compliance role responsible for (1) conducting a broad range of ethics and compliance responsibilities, supporting the US Ethics & Compliance program as well as the AC Kolkata Ethics & Compliance Director (2) intake, planning, conducting and reporting on investigations of allegations received through the US Ethics Helpline and other available channels for reporting concerns of possible misconduct and (3) providing guidance on policy and our firm values to partners and employees through communications, training and direct contacts seeking advice. The policy subject matter specialty areas and investigation matters may involve among other issues, anti-fraud, anti-corruption, antitrust, information protection, privacy, insider trading, trade compliance, harassment, discrimination, retaliation and other suspected violations of ethics and business conduct policies. The role requires a high degree of independent judgment, fairness, and objectivity.

You'll work as part of a team of problem solvers, helping to solve complex business issues from strategy to execution. Professional skills and responsibilities for this management level include but are not limited to:

- Encourage everyone to have a voice and invite opinion from all, including quieter members of the team.

- Deal effectively with ambiguous and unstructured problems and situations.

- Initiate open and candid coaching conversations at all levels.

- Move easily between big picture thinking and managing relevant detail.

- Anticipate stakeholder needs, and develop and discuss potential solutions, even before the stakeholder realizes they are required.

- Contribute technical knowledge in the area of specialism.

- Contribute to an environment where people and technology thrive together to accomplish more than they could apart.

- Navigate the complexities of cross-border and/or diverse teams and engagements.

- Initiate and lead open conversations with teams, clients and stakeholders to build trust.

- Uphold the firm's code of ethics and business conduct.

Responsibilities include:

- Receiving and investigating reported concerns of possible misconduct; serving as a confidential and non-retaliatory resource for all partners and employees who have questions or concerns.

- Conduct timely, effective and independent investigations; develop investigation plans; conduct interviews of reporters, witnesses and subjects of concerns; collect all relevant evidence; make and report on investigation findings; document all investigative steps in the firm's ethics case management system and an Executive Summary; and when claims are substantiated, facilitate and lead the discipline committee process; and confirm all is consistent with the established robust internal investigations processes and best practice.

- Collaborate with key stakeholders across the firm including the People team, Risk Management, Information Security and the Office of General Counsel (OGC).

- Conduct root cause analyses, identify potential areas of compliance vulnerability and risk, as well as control gaps, and develop / implement corrective action plans for resolution, developing and improving policies and processes; and provide general guidance on how to avoid or deal with similar situations in the future.

- Support functional leaders as needed from an ethics or compliance perspective, including colleagues in the People team, Risk Management and OGC, and transition to them matters more appropriate for their handling given their subject matter specialty.

- Draft and deliver ethics and compliance training and communications with subject matter specialists in Learning & Development and our communications functions through an established firm-wide schedule and cadence, as well as ad hoc when needed.

- Prepare trend analyses,analyzing ethics and compliance data and preparing reports for management.

Position/Program Requirements Knowledge Preferred:

Demonstrates proven intimate knowledge of, and/or success in investigator roles involving, plan, review, interview, forensic and audit in the case investigation, preferably for operations of a US-based or multinational company, emphasizing understanding of the following areas:

- Possessing audit or investigation skills, preferably involving complaints of law, regulation and integrity violations, including harassment, discrimination, retaliation, time, expense, gifts and entertainment fraud, conflicts of interest, and breach of privacy/confidentiality;

- Leveraging written and verbal communication skills involving (1) receiving and investigating complaints (2) having challenging, sensitive and confidential conversations (3) providing policy guidance (4) policy maintenance and development (5) ethics communications and training and (6) trend analyses;

- Conducting root cause analyses including change agility, especially the abilities to analyze data and report on trends and continuously improve processes to align with regulatory and business changes;

- Operating with a high degree of independence and accountability in the receipt, triage and investigation of complaints, while guiding, coaching and collaborating with internal leaders, staff, clients and vendors;

- Organizing and prioritizing responsibilities in order to manage multiple projects concurrently;

- Collaborating with stakeholder functions in an internal investigations process, including HR, Legal, Internal Audit, IT, Security, Finance, and Procurement, seeking diverse views to encourage improvement and innovation.

Skills Preferred:

- Demonstrates proven abilities in managing ethics, compliance, governance, and/or risk management programs and operations within a US-based or multinational company, emphasizing analytical, project management, and research skills through the use of firm-issued technologies (e.g. Microsoft Office-Word, Excel PowerPoint, SharePoint, et al;Google at Work-docs, sheets, slides, drive, et al; Lotus Notes, etc.):

- Serving as a subject matter specialist in the development, interpretation, and maintenance of policies and practices through everyday business consultations and/or collaborations with key internal E&C stakeholders;

- Performing work and collaborating in multi-cultural, multi-lingual, diverse and inclusive environments;

- Communicating effectively- verbally and in writing-with local leadership, partners and staff, peer co-workers, subject matter specialists, emphasizing the development of clear, concise, well-written documents and presentations;

- Leading, coordinating, implementing follow-up, and documenting assigned activities thoroughly and in a timely manner;

- Developing management reporting, including ad hoc reports in response to the needs of the business, local leadership, and US E&C leadership;

- Handling conflicts with professionalism and respect while working under pressure;

- Managing ethics, code-of-conduct, compliance and related topics, policies and processes from an Ethics & Compliance or related perspective (e.g., audit, legal, forensic investigations, HR, IT, finance, security or procurement).

- Prior experience in ethics, compliance, governance, risk management, audit, and/or law is strongly preferred.

- Prior international experience is desirable.

Minimum Years of Experience Necessary: 7 years

Minimum Degree(s) and Certification(s) Required: Regular LL.B from a reputed law school/university is mandatory. LL.M.,CCEP-I; CFE is desirable.