Boc - Bbplc - Conduct Assurance

7 days ago

Mumbai, India Barclays Full time

Job Title: BOC - BBPLC - Conduct Assurance
Location: Mumbai

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
Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards.

Working Flexibly

Hybrid Working

BUK & BX - All locations

Introduction:
This is an opportunity to join the Compliance Assurance Conduct team, an independent testing function within Compliance designed to assess potential conduct and reputational risks through the performance of business and thematic Conduct reviews. This role seeks individuals who are highly motivated and highly competent who are able to conduct and drive reviews. The Compliance Assurance Conduct team is primarily responsible in the firm for providing assurance on the effectiveness of conduct and reputational risk management through the review of relevant firm controls, culture and behaviors.

What will you be doing?
- Design and deliver reviews that provide strong insight and value by identifying risks and issues, or examples of good practice. Clearly articulating root causes, outcomes and consequences to support corrective actions or the further embedding of robust controls and processes at a fundamental level.
- Adopt Data Analytics to use logic and analytical skills in reviews while providing assurance and identifying issues.
- Conduct reviews inline with the Compliance Assurance methodology in the execution of reviews (throughout planning, testing, and reporting) and the monitoring and validation of issues and actions. Being accountable for working papers being completed timely and accurately, with clear and concise findings.
- Conduct assurance activities that identify risk/control/outcome deficiencies of the upmost relevance, providing valuable insights and informed opinions. Propose robust action plans designed to materially and sustainably mitigate the risks identified in the issue.
- Provide cultural leadership through recognising and valuing differences, e.g. through collaboration across diverse networks.
- Constantly strive for, and implement, better ways of working to demonstrate increased efficiency and productivity, demonstrate forward planning, utilising less resource(s) by meeting planned timescales or bringing review in ahead of schedule with effective allocation of tasks, utilising reviewers’ strengths.
- Realise efficiencies within the Standard Review lifecycle that both heightens the overall assurance product effectiveness and allows for compression of the end to end lifecycle timeline, without compromising quality of work. Ability to quickly identify resource constraints or spare capacity to manager.
- Keep up to date on business developments, regulatory change, internal policies and Compliance objectives so that Compliance Assurance work remains relevant, timely and valuable.
- Aid continual review and development of the annual review plan through assessing the conduct, reputational and regulatory risks of existing business activities and new business initiatives, or changes to internal and external factors that might impact the business in meeting conduct and regulatory expectations. Agreeing review coverage and development of clearly articulated review scope.

What we’re looking for:
The role holder will demonstrate cultural leadership skills, through recognising and valuing differences, through collaboration across diverse networks and enhance the Compliance Culture within the organisation in a manner consistent with the Barclays’ company purpose, values and mind-set.
- Bachelor Degree or equivalent. Other professional qualifications would be an advantage
- Relevant work experience in an global Investment Bank
- Excellent interpersonal skills with excellent written and oral communication skills

Skills that will help you in the role:

- Strong understanding of Investment Banking business, particularly Markets, preferably with a global Investment bank.
- Strong investigative skills with the capability to identify key risks and areas of non-conformance with regulatory and legislative requirements and lack of controls, identify root cases, themes and trends.
- Experience of discussing contentious observations with management and recommending necessary actions.
- Track record of high performance and effective execution, ability to deliver high quality work in a timely and structured manner as part of a team.
- Strong understanding and ability to identify controls and assess its effectiveness
- Prior ex

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