Assistant Vice President, Breach and Consequence Management.
This mandate is run by SYMPHONI HR, a Mumbai-based executive search firm, est. 2003. Applications are email-verified and reach the search team running the role — confidentially, always.
About the organisation.
Our client is a leading global financial services institution with a significant presence in the banking sector. They are committed to maintaining the highest standards of integrity and regulatory compliance across their international operations. The organization fosters a culture of professional excellence and continuous improvement, supporting a diverse workforce in a fast-paced environment.
About the role.
We are seeking an experienced professional to join the Compliance Investigations and Insights team in Pune. This role serves as a subject matter expert responsible for providing strategic oversight and governance to mitigate employee conduct risks. You will play a pivotal role in fostering a culture of integrity by managing complex conduct exceptions and driving process optimization across the organization.
What you will do.
- Develop and implement robust policies, surveillance systems, and training programs to ensure adherence to regulatory requirements.
- Manage complex conduct exceptions including breach management, reward, global registrations, and personal investments.
- Provide expert guidance to business leaders to influence decision-making and ensure consistent application of conduct standards.
- Lead high-impact projects utilizing data analysis to identify behavioral trends and drive continuous improvement in risk controls.
- Collaborate with cross-functional teams to optimize processes and strengthen overall risk governance.
- Oversee regulatory reporting and ensure operational effectiveness within the compliance framework.
What you bring.
- 10–15 years of professional experience in compliance, risk management, or a related field.
- Deep understanding of the Conduct Risk Framework and employee conduct investigations.
- Proven ability to manage sensitive investigations and make confident, risk-based decisions.
- Strong analytical mindset with the ability to interpret complex data and communicate findings to senior stakeholders.
- Demonstrated experience in stakeholder management, influencing outcomes, and driving behavioral change.
- Strong leadership capabilities, including coaching, objective setting, and performance management.
- Degree in Law, Finance, Business Administration, or a related field, with relevant professional certifications preferred.
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