Ethics and Conduct Investigator

at  Absa Bank Limited

Empowering Africa’s tomorrow, together…one story at a time.
With over 100 years of rich history and strongly positioned as a local bank with regional and international expertise, a career with our family offers the opportunity to be part of this exciting growth journey, to reset our future and shape our destiny as a proudly African group.
Job Summary

The Priority Investigations & Whistleblowing (PI&W) unit is an investigative unit within the Compliance function of the bank. It manages the whistleblowing platforms and processes in the bank and also investigates issues that pose significant risks to the bank. In managing the whistleblowing platforms and processes in the bank, the team receives whistleblows that fall into different categories. Broadly, the allegations recorded in these whistleblows fall into the categories of either employee dishonesty generally covered by Forensics and Employee Relations (ER) (on people) related matters previously covered by ER. This unit is setting up an ER investigative function.

• PI&W is therefore looking to recruit investigators who are responsible for investigating workplace issues and employee concerns, such as harassment, discrimination, policy violations and other behavioural or ethical breaches. PI&W is therefore looking to recruit investigators who: are suitably qualified
• have the relevant skills, knowledge and expertise to respond to each investigation
• have proven track records in investigating ethics related matters
• have experience in working independently
• have experience is working in different parts of the country.

In addition, the investigator is to bring the correct tone and flavour in conducting himself/herself which matches the profiles of the investigations and their stakeholders.

The issues to be investigated will mostly cover the following areas:

• Bullying
• Victimisation
• Harassment
• Nepotism
• Unethical behaviour
• Racism
• Sexual harassment.

The issues could also relate to those not covered above, but which require investigation, such as:

• Breaches of ethical compliance
• Unfair labour practices.

The key accountabilities of the investigator will be to conduct and manage investigations, effectively manage stakeholders, portray a professional competence and be part of a team managing the whistleblowing activities. These are discussed below.
Job Description

Accountability: Investigations

• Conduct ER investigations in accordance with best practices, guidelines and key ER principles across all areas of the bank in South Africa
• Respond to requests to investigate issues from various sources
• Liaise with the Head: PI&W and other members of PI&W
• Conduct investigations (on an end – to –end basis) efficiently and effectively. In doing so:
• Be accountable for scoping investigation plans
• Be responsible for the quality of the output of investigations
• Manage stakeholders
• Be resourceful and creative in conducting/managing investigations
• Manage confidentiality requirements on each assignment
• Suggest remedial action to be taken by respective Business Units
• Write reports of high quality setting out factual findings
• Present findings including insights and/or recommendations
• In case of substantiated allegations, assisting management with preparation of potential disciplinary meetings and being a witness during internal disciplinary processes including the CCMA.
• Assist with post investigation on formal proceedings (such as testifying at civil recovery and criminal proceedings)
• Understand legal frameworks of investigations
• Ensure that effective record keeping from investigations takes place.
• Use the PI&W Case Management System
• Provide Management Information and reports to key stakeholders.

Accountability: Manage investigations independently

• Manage investigations independently
• Be prepared to travel to all areas of South Africa at short notice
• Be prepared to conduct investigations for extended periods away from home
• Have sufficient soft skills to deal with investigations involving sensitive issues
• Have the ability to make sound judgment calls on investigations
• Be proactive
• Collaborative; work closely with Human Capital, Legal and management teams to resolve employee relations issues.
• To set the right example in conducting and managing investigations by:
• Leading from the front by having a strong work ethic
• Being self-directed and self-sufficient.

Accountability: Relationship/Stakeholder management

• Develop key relationships with business leaders within the bank and promote a positive impression of themselves
• Understand the needs and expectations of the stakeholders
• Be available to Management across South Africa
• Develop key relationships with stakeholders, being, Head: PI&W, Head: Conduct & Ethics, Investigations, Chief Compliance Officers, ER and Employment Legal.
• Develop key relationships within the investigations environment in the bank, including other forensic functions within the bank
• Develop key relationships with other stakeholders (clients) in the bank
• Providing meaningful feedback to stakeholders and having regular exchanges with stakeholders

Accountability: Professional Competence

• Being aware of legal frameworks which have jurisdiction and are applicable in each investigation
• Having a working knowledge of the Absa Way Code of Ethics, Absa Employee Relations Policy and supporting standards, the Code of Good Practice on the Prevention of Elimination of Harassment in the Workplace and the Labour Relations Act
• Being conversant in most ER related topics and recent trends in regulatory / (employment legislation)
• Have an existing network in the Forensic industry
• Participate in industry forums
• Implement and control strategic initiatives.

Accountability: Training & Development
Assist Human Capital in developing and delivering training for employees and managers on topics such as harassment prevention, workplace conduct and conflict resolution.

Education and Experience Required

• University degree or equivalent; or
• Financial Services Qualification or post graduate diploma
• 5+ years professional experience.

Preferred experience

• 5+ years in a financial services organisation
• 2+ years in a managerial/senior coordination role in a financial institution
• Experience carrying out ER investigations including grievance and disciplinary management.

Knowledge & Skills:

• Investigative skills
• Knowledge of labour laws
• Report writing
• Excellent Verbal/communication skills
• Negotiation skills
• Analytical skills
• Problem solving
• Sound judgment
• Deciding and initiating action.

Competencies:

• Conflict resolution and mediation
• Confidentiality
• Learning and researching
• Relating and networking
• Adapting and responding to change
• Persuading and influencing
• Creating and innovating

Personal Traits:

• Ethical
• Confident
• Resilient
• Resourceful
• Energetic
• Team player
• Professionalism
• Empathy.

Education
Bachelor`s Degrees and Advanced Diplomas: Law, Military Science and Security (Required)
Absa Bank Limited is an equal opportunity, affirmative action employer. In compliance with the Employment Equity Act 55 of 1998, preference will be given to suitable candidates from designated groups whose appointments will contribute towards achievement of equitable demographic representation of our workforce profile and add to the diversity of the Bank.
Absa Bank Limited reserves the right not to make an appointment to the post as advertise

Accountability: Investigations

• Conduct ER investigations in accordance with best practices, guidelines and key ER principles across all areas of the bank in South Africa
• Respond to requests to investigate issues from various sources
• Liaise with the Head: PI&W and other members of PI&W
• Conduct investigations (on an end – to –end basis) efficiently and effectively. In doing so:
• Be accountable for scoping investigation plans
• Be responsible for the quality of the output of investigations
• Manage stakeholders
• Be resourceful and creative in conducting/managing investigations
• Manage confidentiality requirements on each assignment
• Suggest remedial action to be taken by respective Business Units
• Write reports of high quality setting out factual findings
• Present findings including insights and/or recommendations
• In case of substantiated allegations, assisting management with preparation of potential disciplinary meetings and being a witness during internal disciplinary processes including the CCMA.
• Assist with post investigation on formal proceedings (such as testifying at civil recovery and criminal proceedings)
• Understand legal frameworks of investigations
• Ensure that effective record keeping from investigations takes place.
• Use the PI&W Case Management System
• Provide Management Information and reports to key stakeholders

Accountability: Manage investigations independently

• Manage investigations independently
• Be prepared to travel to all areas of South Africa at short notice
• Be prepared to conduct investigations for extended periods away from home
• Have sufficient soft skills to deal with investigations involving sensitive issues
• Have the ability to make sound judgment calls on investigations
• Be proactive
• Collaborative; work closely with Human Capital, Legal and management teams to resolve employee relations issues.
• To set the right example in conducting and managing investigations by:
• Leading from the front by having a strong work ethic
• Being self-directed and self-sufficient

Accountability: Relationship/Stakeholder management

• Develop key relationships with business leaders within the bank and promote a positive impression of themselves
• Understand the needs and expectations of the stakeholders
• Be available to Management across South Africa
• Develop key relationships with stakeholders, being, Head: PI&W, Head: Conduct & Ethics, Investigations, Chief Compliance Officers, ER and Employment Legal.
• Develop key relationships within the investigations environment in the bank, including other forensic functions within the bank
• Develop key relationships with other stakeholders (clients) in the bank
• Providing meaningful feedback to stakeholders and having regular exchanges with stakeholder

Accountability: Professional Competence

• Being aware of legal frameworks which have jurisdiction and are applicable in each investigation
• Having a working knowledge of the Absa Way Code of Ethics, Absa Employee Relations Policy and supporting standards, the Code of Good Practice on the Prevention of Elimination of Harassment in the Workplace and the Labour Relations Act
• Being conversant in most ER related topics and recent trends in regulatory / (employment legislation)
• Have an existing network in the Forensic industry
• Participate in industry forums
• Implement and control strategic initiatives