Assistant Manager - Ethics & Independence - Gurgaon

Key Responsibilities (Analytical/Decision Making):

• Policy Expertise & Application: Lead the development and application of a deep understanding of BDO's local Ethics & Independence policies, regulatory requirements, and industry best practices to assess and resolve conflict of interest and independence concerns. Provide strategic direction to ensure firm-wide adherence to these policies.
• Guidance & Advisory: Act as a subject matter expert and primary point of contact for the firms client teams regarding Ethics & Independence issues. Provide expert guidance on the interpretation and application of firm policies, regulatory requirements, and conflict check evaluations.
• Technical Research & Issue Resolution: Lead advanced technical research on ethics and independence matters, identifying potential conflicts of interest and independence threats. Collaborate with senior leadership to develop and implement solutions for complex issues.
• Conflict Management: Oversee the identification, analysis, and resolution of potential conflicts of interest, including advising on the strategic approach to managing and mitigating high-risk situations involving clients, counterparties, and internal stakeholders.
• Database Oversight: Manage and oversee the use of BDOs proprietary conflicts of interest databases, ensuring timely updates, accuracy, and integrity of data. Coordinate the continuous improvement of these tools.
• Team Leadership & Development: Supervise and mentor junior team members, fostering a collaborative environment. Provide coaching on independence and conflict of interest evaluations, and ensure team members are fully equipped with the necessary skills and knowledge.
• Quality Control: Ensure the quality, accuracy, and timeliness of all deliverables, including review and approval of work produced by the team. Ensure all work complies with relevant regulatory requirements and internal policies.
• Cross-Functional Collaboration: Serve as the primary liaison between the Ethics & Independence team and various client-facing teams. Facilitate communication between internal departments, senior leadership, and external regulators when necessary.
• Project Management & Reporting: Lead and manage key initiatives, projects, and compliance audits related to ethics and independence. Provide regular updates to senior management and stakeholders on team progress, key challenges, and the status of compliance efforts.
• Continuous Improvement & Communication: Develop, implement, and disseminate updates on Ethics & Independence policies, initiatives, and key messages using appropriate communication channels. Advocate for continuous process improvements and policy updates to keep pace with regulatory changes and emerging risks.

Knowledge, Skills, and Experience Requirements:

• Strategic Analytical Thinking: Strong ability to think strategically and analytically, applying deep knowledge of Ethics & Independence issues to complex decision-making scenarios.
• Conflict Management: Expertise in identifying, managing, and mitigating conflicts of interest, with a track record of resolving high-risk ethical issues in a professional services environment.
• Regulatory Expertise: In-depth knowledge of industry regulations, compliance standards, and ethical guidelines, including the ability to stay current with changes in rules and regulations.
• Team Leadership: Proven experience in managing and developing teams, with the ability to mentor and guide team members in navigating complex ethical and independence challenges.
• Communication Skills: Excellent verbal and written communication skills, with the ability to present complex information clearly and persuasively to stakeholders at all levels of the organization.
• Attention to Detail: Exceptional attention to detail and strong organizational skills, with the ability to manage multiple projects simultaneously and ensure high-quality deliverables.
• Adaptability & Flexibility: Ability to thrive in a fast-paced and evolving work environment, with a proactive mindset to adapt to changes in policies, procedures, and regulations.

Qualifications, Certifications, and Education Requirements:

• Education: Postgraduate degree (MBA in Finance, or a related field) from a reputable institution.
• Experience: 5-7 years of relevant work experience in a research, compliance, or regulatory role, with a proven track record of working with Ethics & Independence issues. Experience in a professional services firm is preferred.
• Technical Skills: Proficiency in MS Excel (Advanced Excel, Macros, VBA), with a demonstrated ability to manipulate large data sets, create automated reports, and develop advanced analytical tools.
• Certifications: Any relevant certifications will be an added advantage.
• Interpersonal Skills: Strong interpersonal and relationship-building skills, with the ability to collaborate effectively across different teams and levels of the organization.