Trade Monitoring Avp

2 weeks ago

Pune Maharashtra, India Barclays Full time

Job Title: AVP - Markets Trade Monitoring

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:
This role is within the Chief Controls Office Monitoring team (first line of defence) and is responsible for developing and operating transactional [detective] controls that feed into governance and various supervisory reviews. Business scope covers all of Markets and includes cross asset controls for unauthorized trading (UT) risk as well as business specific controls (e.g. monitoring FX benchmark executions and Last Look rejections for Algorithmic Auto-quoting). Control coverage is determined by regulatory requirements, assessed risk, as well as desk procedures. Day-to-day responsibilities include operating the controls, investigating alerts, and reporting results into Supervisory processes as well as governance forums.

What will you be doing?
- Aligned to a designated portfolio of Business, Functions or Horizontals to support Senior Managers in delivering their accountabilities under the Individual Accountability Regime by providing input, guidance and risk management expertise across the Controls environment.
- Ensuring adequate frameworks are in place and appropriately applied to comply with the regulatory requirements relating to oversight over Appointed Representatives and delivering the right outcomes for our customers, clients and colleagues.
- To provide clear articulation of the risk and control landscapes including ability to demonstrate an understanding of control requirements for relevant internal Barclays and external Regulatory policies. This will include (but is not limited to): Control, Issues, Risk Event and Audit guidance, guidance on Policies and Standards and the oversight and management of risk.
- Act as the point of coordination and syndication of all Control Services, ensuring consistency and quality delivery of the Controls Strategy, Control Frameworks, improvement initiatives and capabilities across each Business, Functions or Horizontals.
- Work on Equities monitoring post trade control review management and appropriate escalation
- Work closely on Business Communication controls and provide assistant to run and improve process
- To develop and maintain relationships with senior colleagues and stakeholders - with the ability to effectively challenge risk and control decisions, when needed.
- Work under the direction of the CCO Monitoring lead
- Operate transactional controls, reviewing alerts / output generated, further investigating to determine underlying conduct and operational issues
- Partnering with Technology to improve existing controls and develop new controls as required
- Escalation of issues to Compliance as well as senior business supervisors
- Evidencing of the day-to-day control environment, including capturing of decisions made by key stakeholders.
- Participate in Control forums, including preparation of Management Information (MI) and related reporting

Stakeholder Management and Leadership
- Significant experience of Senior internal & external stakeholder management across the 3LoD.
- Excellent influencing and communication skills.
- Significant experience of working across 3LOD to drive and deliver change and a strong controls agenda.
- Proven excellence of preparing materials for senior management, for the Board and/or for regulators.

What we’re looking for:
Person Specification
- Highly organised, with ability to prioritise and work under pressure, delivering to tight deadlines and multiple demands across a ‘matrix’ organisation.
- The role holder will have a high degree of decision-making authority and needs to demonstrate ability to influence upwards.
- Collaborative and able to share best practice at all levels.
- Experience in a relevant environment that demonstrates the skill of implementing new frameworks and processes that are innovative and enablers of growth.
- Mindset of using technology to best advantage to minimise manual tasks and improve quality of information
- Experience of control, governance or oversight function.
- Track record of managing multiple stakeholders with different needs.
- Superior analytical and critical thinking skills.
- Ability to influence and negotiate across all areas and levels of the organisation.
- Pragmatic, able to share information, transfer knowledge and expertise to team members.
- Can-do attitude and has experience in deliver

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