VP - Senior Investigations Manager - Investigations & Whistleblowing Compliance Team - BFS

A group-wide Compliance Investigations capability that ensures appropriate stakeholder engagement, scoping and execution from intake to closing of matters.

- A global Whistleblowing program that (amongst other things) supports staff who report concerns, protects them from retaliation and leads to actions being taken where appropriate.

- The principal focus of I&W Investigations is matters involving significant Conduct or Reputational Risk, such as allegations of serious violations of laws, regulations or internal policy; complex complaints and potential fraud matters; behaviours materially inconsistent with the Values; and any other significant matters principally referred through whistleblowing channels requiring independent investigation and the successful delivery of investigations casework.

- The Senior Investigations Manager will be located in Mumbai and provide operational coverage globally as necessary.

- Dynamic working gives everyone the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager.

- We are an equal opportunity employer and we are opposed to discrimination on any grounds.

Overall purpose of role

- The Senior Investigations Manager will assist the Head of APAC Investigations and Whistleblowing in the development and management of the Investigations and Whistleblowing team, including the successful delivery of casework and the promotion of the Whistleblowing programme across the APAC region.

- The Senior Investigations Manager will operate in accordance with a defined investigations methodology and in close collaboration with business partners and with external agencies (e.g. Legal and law enforcement).

- The Senior Investigations Manager will conduct interviews, take statements, gather evidence, analyse facts and prepare reports as part of the investigative process. The Senior Investigations Manager will lead investigations or be part of an investigative team for larger or more complex investigations.

Key Accountabilities

- Undertake, manage and direct investigations into matters referred by the Whistleblowing team and- business entities, principally in EME, but with Global reach where necessary.

- Delivery of investigations: Undertake interviews, take statements, analyse facts, gather evidence, ability to compile robust, defensible and timely investigation output.

- Conduct investigations in accordance with Compliance Investigations methodology, utilising the dedicated Case Management System for the recording and management of casework.

- Collaborate closely with the Directors of Investigations in order to ensure timely and consistent case allocations are made to investigators, in respect of available skills and capacity availability.

Stakeholder Management and Leadership

- Build strong working relationships with key internal stakeholders (to MD level), including but not limited to Compliance, Front Office teams, Risk, Legal, Operations, Credit, Human Resources, Finance and Audit.

Decision-making and Problem Solving

- Successful candidate will need to have the ability quickly to digest and analyse large amounts of information and reach decisions on judgemental issues relevant to the whistleblowing program and the investigative work that underpins it.

- This will involve the consideration of legal and regulatory frameworks relevant to whistleblowing and the legal, regulatory and policy frameworks impacted by the concerns that are raised.

- The successful candidate will need to be able to convey analysis and decisions cogently to senior audiences and accept check and challenge from them.

Risk and Control Objective

- Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Policies and Policy Standards.

Person Specification

- Organised, self-starting individual with a passion for continuous improvement and high quality work product. Collaborative, delivery focused and with strong stakeholder management skills.

Essential Skills/Basic Qualifications:

- Extensive professional experience in conducting and managing significant investigations in a corporate environment.

- Proven investigative experience across a range of themes and products.

- Deep knowledge and experience of BBPLC products and services.

- Strong communication skills (written and oral) and strong presentation skills.

- Familiarity with handling sensitive regulatory matters and risk identification against this backdrop.

Desirable skills/Preferred Qualifications:

- Experience of operating at senior levels within the Bank.

- Proven track record of delivery.

- Management experience.