Lead-Investigations

 

1. ACCOUNTABILITIES & RESPONSIBILITIES

  ACCOUNTABILITIES ACTIVITIES 1 Responsible along with Head – Investigations for handling all types of Investigations within the Company – related unethical / malicious / fraud / corrupt / bribery incidents - involving Employees and Third Parties / Counterparties pertaining to Company Operations.

To provide able support to Head – Investigations, on the following and handle investigations assignments independently:

 

• Review the unethical / malicious behavior cases received for investigation in detail along with system analysis to ascertain the investigation action plan.

 

• Initiate in house analysis / review, discussion with complainants, other relevant personnel to gather additional required information. 

 

• Independently conducts investigations (either covertly or overtly) into malicious behavior directed against Company, unethical complaints, cybersecurity incidents, and policy violations. 

 

• Performs activities in a manner consistent with recognized best practices

 

• Carry out data / information review and analysis pertaining to the unethical / malicious / fraud / corrupt / bribery incidents / complaints and other incidents related to any misconduct or breach of any policies / procedures.

 

• Conduct interviews of those people involved in an event or incident and document the interview outcomes.

 

• Root-cause analysis following investigation closure where appropriate to ensure investigations produce learnings, not just findings.

 

• Where required, perform digital forensics on mobile devices, laptops, desktops, servers, network devices, and other items. 

 

• Analyze investigation outcomes and identification of potential internal controls, education or process gaps; and recommend the

 

• Preparing investigation reports, detailing logical and accurate conclusions and providing timely updates to stakeholders.

 

• Works either autonomously or with subject matter experts to ensure investigation SLAs are met.  

 

• Initiates recovery of loss, if any, suffered by the Company from the employees

 

• Maintain surveillance on employees / third parties or counterparties of doubtful integrity 

 

2 Hotline Whistler Blower 

• To support the Hotline team for all the relevant aspects of Receiving and handling complaints.
• To coordinate with all relevant stakeholders to ensure that all the Hotline Complaint Channels are up and running. 

 

3 Co-ordinate with business team and other stakeholders (both internal / external) for data / information, interviews, investigations, etc.

• Partner closely with Legal, Compliance, Security, HR, Finance, Internal Audit and other support professionals.

 

• Manage Outsourced vendors and ensure smooth functioning of Reviews and Investigations

 

4.

Documentation 

 

1. Hotline WB Complaints – Mails / Post /Document / Web complaint / Voice data 
2. Hotline WB Complaints Register & it’s updation
3. Closure Reports / Closure mails
4. Evidence / Additional information obtained from Complainant 
5. Investigation Reports

 

5. Team Building  Mentoring and develop team members to build motivated & high performing team. 6. Others

• Carry out assignments / works assigned by Head - Compliance & Investigations / Chief Compliance & Security Officer time to time.

 

1. ACCOUNTABILITIES & RESPONSIBILITIES

  ACCOUNTABILITIES ACTIVITIES 1 Responsible along with Head – Investigations for handling all types of Investigations within the Company – related unethical / malicious / fraud / corrupt / bribery incidents - involving Employees and Third Parties / Counterparties pertaining to Company Operations.

To provide able support to Head – Investigations, on the following and handle investigations assignments independently:

 

• Review the unethical / malicious behavior cases received for investigation in detail along with system analysis to ascertain the investigation action plan.

 

• Initiate in house analysis / review, discussion with complainants, other relevant personnel to gather additional required information. 

 

• Independently conducts investigations (either covertly or overtly) into malicious behavior directed against Company, unethical complaints, cybersecurity incidents, and policy violations. 

 

• Performs activities in a manner consistent with recognized best practices

 

• Carry out data / information review and analysis pertaining to the unethical / malicious / fraud / corrupt / bribery incidents / complaints and other incidents related to any misconduct or breach of any policies / procedures.

 

• Conduct interviews of those people involved in an event or incident and document the interview outcomes.

 

• Root-cause analysis following investigation closure where appropriate to ensure investigations produce learnings, not just findings.

 

• Where required, perform digital forensics on mobile devices, laptops, desktops, servers, network devices, and other items. 

 

• Analyze investigation outcomes and identification of potential internal controls, education or process gaps; and recommend the

 

• Preparing investigation reports, detailing logical and accurate conclusions and providing timely updates to stakeholders.

 

• Works either autonomously or with subject matter experts to ensure investigation SLAs are met.  

 

• Initiates recovery of loss, if any, suffered by the Company from the employees

 

• Maintain surveillance on employees / third parties or counterparties of doubtful integrity 

 

2 Hotline Whistler Blower 

• To support the Hotline team for all the relevant aspects of Receiving and handling complaints.
• To coordinate with all relevant stakeholders to ensure that all the Hotline Complaint Channels are up and running. 

 

3 Co-ordinate with business team and other stakeholders (both internal / external) for data / information, interviews, investigations, etc.

• Partner closely with Legal, Compliance, Security, HR, Finance, Internal Audit and other support professionals.

 

• Manage Outsourced vendors and ensure smooth functioning of Reviews and Investigations

 

4.

Documentation 

 

1. Hotline WB Complaints – Mails / Post /Document / Web complaint / Voice data 
2. Hotline WB Complaints Register & it’s updation
3. Closure Reports / Closure mails
4. Evidence / Additional information obtained from Complainant 
5. Investigation Reports

 

5. Team Building  Mentoring and develop team members to build motivated & high performing team. 6. Others

• Carry out assignments / works assigned by Head - Compliance & Investigations / Chief Compliance & Security Officer time to time.

1. SKILLS & KNOWLEDGE

• Educational Qualifications & Certifications:

 

• BE/BTech /CA/CPA/LLB or similar qualifications
• Certified Fraud Examiner and/or Former law enforcement officials will have added advantage
• Proficiency in MS Word, MS Excel, and MS PowerPoint, as well as Internet research tools

 

Relevant (Functional/Level) & Total Years of Experience:

• Minimum of 10+ years of professional experience involving internal audit, forensic accounting, risk management and corporate compliance
• Total Exp – 12 – 15yrs
• Proven experience in conducting Corporate Ethics/FCPA/UKBA/Regulatory investigations and conducting witness and suspect interviews including Senior Management Personnel;
• Should have experience of managing a Hotline whistleblower complaints

Functional Skills:

• Strong Analytical, Forensic accounting and Investigative skills
• Managing Complex Investigations into allegations of Bribery, Corrupt behaviour, Misconduct, Policy Breaches or Reputational Issues, including conducting Witness and Suspect Interviews;
• Excellent Strategic Thinking Skills
• Process Improvement Skills
• Articulation & Presentation Skills
• Report writing proficiency

 

Behavioural Skills:

 

• Excellent Interpersonal Skills
• Relationship building skills
• Leadership 
• Team working