Ethics & Investigation

Position Overview:

The person will be responsible for upholding the organization's ethical standards and fostering a culture of integrity, compliance, and accountability. This role will involve leading investigations, enforcing disciplinary actions, driving risk and compliance awareness, and ensuring effective policy implementation and governance.

Key Responsibilities:

1. Investigation and Reporting:

• Conduct thorough and impartial investigations into reported ethical violations or misconduct by employees or dealers.
• Prepare detailed investigation reports with recommendations for corrective actions.
• Ensure confidentiality and compliance with regulatory and organizational guidelines during investigations.

2. Disciplinary Actions:

• Issue warnings or recommend disciplinary actions for employees or dealers found in violation of ethical standards or company policies.
• Maintain detailed records of violations and actions taken to ensure accountability.

3. Risk and Compliance Culture:

• Promote a culture of ethical conduct, risk awareness, and compliance across the organization.
• Develop and deliver training programs on ethics, compliance, and risk management.
• Act as a trusted advisor to management and employees on ethical issues and dilemmas.

4. Policy Implementation and Governance:

• Oversee the implementation of ethics-related policies and ensure adherence at all organizational levels.
• Regularly review and update ethics and compliance policies to align with regulatory requirements and best practices.
• Monitor and report on the effectiveness of governance mechanisms and recommend improvements.

5. Reporting

• Internal reporting of MIS to the Senior management
• Prepare periodic reports which will be placed before the requisite forum Disciplinary action Committee / Audit Committee / Board.

Qualifications and Experience:

• Bachelor’s or Master’s degree in Business Administration, Law, Risk Management, or a related field.
• A minimum of 3 years of experience in Ethics-Investigation related roles, with managerial responsibilities.
• Strong understanding of regulatory frameworks, ethical guidelines, and governance standards.
• Excellent investigative, analytical, and problem-solving skills.
• Strong communication, interpersonal, and leadership abilities.

Key Competencies:

• Investigation and Case Management
• Report preparation as per the regulatory requirements
• Ethical judgment
• Attention to details and confidentiality.
• Ability to influence and drive awareness culture of Risk and compliance and accountability.