Employee Conduct Compliance Specialist

5 days ago

Pune, Maharashtra, India beBeeConduct Full time ₹ 5,00,000 - ₹ 8,00,000
Investigator - Employee Conduct

  • Purpose of the role
  • Accountabilities

  • The primary objective of this role is to investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks.
  • This involves delivering appropriate training and execution of controls to maintain a culture of employee integrity and compliance within the organisation.

  • Key responsibilities include:
  • Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices.
  • Implementation of surveillance and monitoring systems to track and report on employee behavior.
  • Development of training programs to educate employees on conduct expectations, ethical standards, and regulatory obligations.
  • Completion of tasks and exceptions from various areas including Breach Management & Reward, Global Registrations, Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations.
  • Development and implementation of controls related to employee conduct that aligns with regulatory requirements and Barclays risk appetite and industry best practices.
  • Provision of advice and assistance across Barclays on matters relating to employee conduct.

Assistant Vice President Expectations

  • To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness.
  • Collaborate closely with other functions/business divisions to achieve objectives.
  • Lead a team performing complex tasks, using well-developed professional knowledge and skills to deliver on work that impacts the whole business function.
  • Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes.

  • LEAD Behaviours: Listen and be authentic, Energise and inspire, Align across the enterprise, Develop others.
  • OR for an individual contributor, lead collaborative assignments and guide team members through structured assignments.
  • Identify new directions for assignments and/or projects, identifying a combination of cross-functional methodologies or practices to meet required outcomes.
  • Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
  • Identify ways to mitigate risk and develop new policies/procedures in support of the control and governance agenda.
  • Take ownership for managing risk and strengthening controls in relation to the work done.
  • Perform work that is closely related to that of other areas, requiring understanding of how areas coordinate and contribute to the achievement of the organisation's sub-function objectives.
  • Collaborate with other areas of work, for business-aligned support areas to keep up to speed with business activity and the business strategy.
  • Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies).
  • Solve problems creatively and effectively.
  • Communicate complex information. Complex information could include sensitive information or information that is difficult to communicate because of its content or its audience.
  • Influence or convince stakeholders to achieve outcomes.
  • Experience in Certification and Registrations Licensing experience will be an additional advantage.
  • Experience in Breach Management (Violations) experience will be an additional advantage.

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