Laws & Regulations Cas Avp

1 week ago

Pune, Maharashtra, India Barclays Full time

Job Title :
Laws & Regulations CAS AVP

Location:
Pune

About Barclays
Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography.

Our businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate and investment bank, all of which are supported by our service company which provides technology, operations and functional services across the Group.

Risk and Control Objective

Take ownership for managing risk and strengthening controls in relation to the work you do

Working Flexibly

Hybrid Working

Structured hybrid role:

Introduction:

  • Provide controls assurance on processes/controls primarily covering Barclays' adherence to Laws, Rules and Regulations, across geographies; and other Operational principal risks such as Supplier Risk, Premises etc.
  • Review adequacy of framework established to achieve adherence to Laws, Rules and Regulations and other operational risks
  • Review processes and controls established to achieve adherence to Laws, Rules and Regulations and other operational risks
  • Govern the end to end delivery of the Controls Testing Framework to understand and report on control effectiveness for Barclays.
  • Participate in developing annual controls testing plans.
  • Review activities to remediate control gaps and assess whether the risk has been fully mitigated and whether the implemented controls are sustainable for Barclays.
  • Identify, evaluate, report and escalate risks in line with Barclays risk and control frameworks, utilising relevant tools and analytical techniques.
  • Provide guidance to ensure compliance with relevant Barclays Policies, Standards, frameworks and procedures across Business Units, Functions and Shared Services.
  • Report the results of testing activities to Senior Stakeholders across Business Units, Functions and Shared Services.
  • Influence and support the implementation of the Controls Assurance strategy.
  • Meet the needs of key internal and external risk processes, reporting schedules, stakeholders and regulatory authorities in delivering assurance activities.
  • Develop strong and productive working relationships with local line management and global Controls Assurance team to ensure continuous engagement on key deliverables and project updates are shared on a timely basis.
What will you be doing?

  • Own and deliver Controls Assurance program including sustainability testing with deep understanding of assessment frameworks.
  • The individual would be responsible for planning, executing and providing oversight for delivery of Controls Testing reviews and reporting findings with supervision from Controls Assurance testing teams.
  • Ensuring reviews are managed within the approved scope and budgets on a regular basis.
  • Undertaking appropriate forum reporting and representing controls assurance in relevant forums.
  • Building and developing relationships with key Vertical, Horizontal and all 3 Lines of Defence stakeholders to drive Barclays Control Framework agenda.
  • Review activities undertaken by management to remediate control gaps and provide an opinion as to whether the risk has been fully mitigated and whether the implemented controls are sustainable.
  • Identify and leverage appropriate data sources and analytical techniques to deliver targeted testing.
  • Maintain an independent perspective, challenging as required and setting out quantified control options and risk decision recommendations.
  • Set and proactively manage Stakeholder expectations to promote an understanding and achievement of risk management objectives, ensuring awareness of responsibilities regarding risk and control.

What we're looking for:

  • Understanding and experience in establishing/evaluating frameworks related to identification and compliance with Laws, Rules and Regulations (LRR) applicable to Banking industry across geographies
  • Minimum 2 years hands on experience in LRR reviews and audits or establishing LRR frameworks and an overall experience of 10 years
  • Experience in comprehending Laws, Rules and Regulations
  • Ability to explore relevant regulatory requirements and identify consequences resulting from nonadherence
  • Knowledge of principal risks such as Operational risk, Market Risk etc.
  • Strong project & change management, analytical and organisation skills.
  • Experience to consolidate and process information from multiple sources to create meaningful insight and reporting for stakeholders.
  • Proven experience of influencing Stakeholders including briefings and presentations.
  • Analytical approach and proven ability to manage issues through to resolution.
  • Experience or knowledge of working within a regulatory and control environment.
  • Experienced in dealing with multiple stakeholders in different business / functions who have different objectives.
  • Experience in providing informed opinion and being a trusted source on business / fun

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