6 Whistle Blower Jobs

Law Graduate (Premier Institute) with 10 to 12 yrs PQE, including 10+ yrs in compliance leadership at MNCs. Proven expertise in POSH, Whistleblower Policy, Anti-Corruption, Anti-Bribery, and global + Indian compliance regulations. Drive compliance culture through strategic risk assessments & preventive controls. Collaborate with CXOs and global teams to embed compliance into business strategy. Design & implement training on ABAC, Anti-Trust, Data Privacy, Conflict of Interest & more Lead internal audits, ethics reviews, investigations & whistleblower processes. Engage with global HQ (Tokyo) on compliance reporting & strategy alignment. Systemize compliance reporting by tracking trends, driving innovation in tools and culture, and executing the annual compliance calendar and CSR registers with actionable improvements."

Head Surveillance (Authorized Person Monitoring) Location - Malad Designation - AVP & Above Role Objective: To lead and manage a robust surveillance framework for monitoring activities of Authorised Persons (APs) across the broking ecosystem, with a focus on proactive risk controls, compliance with SEBI/Exchange regulations, periodic audits, and actionable enforcement of surveillance findings. 1. Surveillance Framework Design & Execution Develop and implement a comprehensive surveillance program for APs, aligned with SEBI/Exchange guidelines and internal risk appetite. Define KPIs and risk flags to proactively monitor unusual trading patterns, volume spikes, clientAP linkage anomalies, or potential regulatory breaches. Integrate data from multiple systems (OMS, RMS, CRM, etc.) to enable real-time surveillance analytics. 2. Proactive Risk Controls Design early warning indicators (EWIs) and risk-based rule engines to detect misconduct or deviations by APs. Implement preventive surveillance triggers for front-running, price manipulation, clientAP conflict of interest, etc. Collaborate with technology and product teams to automate rule-based surveillance alerts and dashboards. 3. Audit & Investigation Plan and conduct periodic surveillance audits of APs, focusing on trading behavior, client onboarding practices, unusual transactions, and regulatory adherence. Investigate red flags or escalations emerging from internal systems, whistleblower reports, or external alerts. Document audit findings, recommend corrective actions, and track closure with evidence. 4. Enforcement & Corrective Action Lead show cause processes and enforce disciplinary actions in case of surveillance violations by APs. Work with the legal and compliance team to draft responses to regulatory queries or show cause notices involving APs. Maintain a robust action tracking and closure mechanism post-audit/investigation. Key Skills & Attributes: Deep knowledge of SEBI/Exchange regulations related to Authorised Persons and market surveillance. Strong analytical capability with an understanding of market behavior and trading anomalies. Experience in managing teams and working with cross-functional stakeholders (risk, Ops , tech, compliance and business). Desirable Tools & Systems: Familiarity with Exchange Surveillance Systems (NSE’s E-Surveillance, BSE’s EWS) Understanding of OMS/RMS integration with surveillance processes Thanks & Regards, Priya Vijaysingh Yadav

Overall Job Description Investigations Adherence to the timelines for completion of Vigilance investigation. - To conduct investigations into verifiable allegations reported during the course of the year and / or complaints received/assigned by CIV and submission of reports for further consideration of the Disciplinary Authority. Completion of investigation and submission of reports within stipulated timelines. Adherence to regulatory requirement / internal policies- Ensure adherence to the regulatory requirements / internal guidelines with regards to conducting and conclusion of investigations. Comprehensiveness and quality of investigations Focus on Root Cause Analysis, Identification of Process / Control Gaps. - Provide qualitative recommendations for improvement of processes. - Identification and fixing of Staff Accountability. - Maintaining evidences, records & documentation pertaining to investigations. - Quality of notes placed to the committees. Preventive Vigilance Assimilating intelligence through surveillance and detection about corrupt practices committed or likely to be committed by employees of the Bank which inter alia includes reviewing available information in public domain/other bank cases/ newspaper reports and providing necessary insights to the CIV from a preventive vigilance perspective. Conducting Training & Awareness programs. MIS, Reports & Process Preparing monthly/Quarterly/Annual memos for review of Vigilance Committee, Audit committee and board. Preparing MIS & Dashboards for circulation to stakeholders Creating and maintaining central repository for Vigilance Department. Reviewing staff accountability cases to identify cases with a vigilance angle. Conducting reviews/ study of processes with a vigilance perspective. Drafting responses to regulatory authorities/ stakeholders. Ensuring Banks Vigilance / WBM Policy are totally in sync with all statutory and regulatory guidelines. Keep abreast of the latest regulatory guidelines and circulars and ensure adherence to the same.

Job Title: AVP Whistleblowing Investigation Support Location: Pune Key Responsibilities Lead and manage investigations into alleged violations of internal policies, regulations, or legal requirements. Identify and evaluate risks associated with unethical conduct or non-compliance, and implement mitigation strategies. Utilize internal data, external intelligence, and advanced investigation tools to support and enhance case analysis. Prepare detailed documentation of investigative processes and findings with clear recommendations for corrective actions. Deliver training sessions and awareness programs on compliance and ethical behavior across business units. Collaborate with senior stakeholders to address findings and enhance the control environment. Where required, manage legal and regulatory reporting obligations related to whistleblowing cases. Drive continuous improvement in investigative methodologies, reporting structures, and risk frameworks. What Were Looking For Essential Skills & Experience Proven experience in investigations within financial services, legal, regulatory, or corporate compliance environments. Strong understanding of governance, risk, and control frameworks. Excellent written and verbal communication, with an ability to handle sensitive and complex information. Strong stakeholder management and influencing skills, including interactions with senior leadership. High-level analytical and problem-solving capabilities. Proficiency in Microsoft Office (Word, Excel, PowerPoint). Desirable Skills Experience conducting e-communications reviews using tools like Relativity , Brainspace , or similar platforms. Exposure to financial products and services across retail, corporate, or investment banking. To know more contact Kanika on 9953939776 or email resume to kanika@manningconsulting.in

Department : Forensic Audit Designation: Senior Consultant \ Deputy Manager Location - Mumbai / Bangalore Qualifications : CA \ MBA \ LLB \ MSc Experience : 2 plus years of experience in forensic Non banking sector in consulting. Roles : Lead and oversee end-to-end fraud investigations, encompassing planning, data collection, analysis, and reporting. Develop and execute comprehensive investigation plans while ensuring alignment with client objectives. Collaborate and communicate with clients and internal stakeholders. Experience of working with forensic tools such as Intella, Relativity etc. Coordinate with diverse stakeholders to gather necessary data, documents, and insights critical to the investigation. Guide and manage team members, ensuring quality deliverables. Prepare detailed investigation reports with findings and recommendations. Prior experience in investigative interviews and working knowledge on external intelligence gathering activities, due diligence. Ability to present work documents / reports/ status updates to both internal and external stakeholders. Looking for candidates with Forensic experience. IA experience will be added advantage. Candidates must be from non banking Sector. Interested candidates can share their update resume on kirti.goyal@protivitiglobal.in

Role & responsibilities Infosys is looking for an experienced professional to join the Whistleblower team. You will play a critical role in upholding the organizations values and ensuring an environment free from fraud and misconduct. Job role: - Manage the day-to-day operations of the Whistleblower program, including: o Managing incoming reports through various channels (e.g. hotline, emails, online platform etc.) o Conduct initial assessments of reported issues and determining investigation strategy o Collaborating with various internal stakeholders for information gathering, process understanding etc. o Engaging with external investigators where needed o Communicating with whistleblowers while maintaining confidentiality o Providing updates and status reports on open investigations - Manage the ethics investigations process, including: o Planning and coordinating investigations (e.g. gathering evidence, interviewing witness etc.) o Conducting objective and unbiased investigations to identify and remediate violations of Companys Code of Conduct & Ethics and policies. o Documenting findings and preparing investigation reports o Presenting findings and recommendations to senior management o Following up on corrective actions and recommendations - Develop and maintain the Whistleblower policy, ensuring compliance with relevant laws and regulations. - Conduct training and awareness campaigns on the whistleblower policy and ethical conduct - Stay up-to-date on best practices in whistleblower program management and ethics investigations. Preferred candidate profile - 2-4 years of experience in corporate investigations. - Strong technical, analytical and problem-solving skills - Excellent communication, interpersonal and written communication skills - Ability to maintain confidentiality and discretion in sensitive matters