AddressPrior 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.
Job Description
The Ethics & Compliance is a local ethics and compliance role responsible for (1) conducting a broad range of ethics and compliance responsibilities, supporting the company US Ethics & Compliance program as well as the Kolkata Ethics & Compliance Director (2) intake, planning, conducting and reporting on investigations of allegations received through the companies 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 speciality.
- 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.
