Assistance Vice President

4 weeks ago

Pune, Maharashtra, India TheThreeAcross Full time

Assistant Vice President - Employee Conduct.

Location: Pune, India.

Employment Type: Full-Time.

About the Role:

We are seeking an experienced Employee Conduct - AVP to lead critical efforts in managing conduct risk, ensuring compliance, and cultivating a culture of integrity.

This role will focus on implementing policies, managing surveillance and oversight mechanisms, and delivering training to uphold the highest ethical standards within the organization.

Key Responsibilities:

- Design and implement employee conduct policies aligned with regulatory standards and industry best practices.

- Establish and manage systems to monitor employee behaviour, ensuring timely reporting and escalation of potential conduct risks.

- Develop and deliver training programs that educate employees on conduct expectations, ethical behavior, and compliance obligations.

Ensure effective execution of key compliance areas, including:.

- Breach Management & Reward.

- Global Registrations (e.g, UK Senior Managers Regime).

- Conduct Rules.

- Mandatory Block Leave.

- Personal Investments & Affiliations.

- Offer guidance and advisory support on employee conduct matters across business units.

- Drive control enhancements to manage risk and ensure alignment with risk appetite.

- Collaborate with cross-functional teams, influencing decisions and supporting resolution of escalated compliance issues.

What We're Looking For:

Essential Qualifications:

- Solid knowledge of employee compliance areas (e.g, Personal Account Dealing, Outside Business Interests, Registrations, Breach Management).

- Strong understanding of risk management, regulatory frameworks, and internal controls.

- Familiarity with investment banking functions and products (equities, fixed income, commodities, financing).

- Excellent analytical and communication skills, with the ability to simplify complex regulatory concepts.

- Proven stakeholder management and advisory skills.

Desirable Skills:

- Experience in Certification & Registrations or Breach Management is a strong plus.

- Ability to consult on complex conduct issues and influence People Leaders.

- Skilled in data analysis, issue resolution, and cross-functional collaboration.

- Ability to deliver complex information with clarity and sensitivity to diverse audiences.

- Strong problem-solving and governance mindset.

- Leadership Expectations (if applicable).

- For leadership roles, candidates should demonstrate:.

- The ability to lead by example and coach teams to meet performance goals.

- Alignment with LEAD values: Listen, Energise, Align, Develop.

- Strategic thinking and operational excellence in driving compliance agendas.

If you're passionate about building a transparent and ethical workplace, and have the skills to drive compliance excellence, we invite you to apply for this exciting AVP opportunity based in Pune.

(ref:iimjobs.com)

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