India Business Oversight Compliance Avp

1 week ago

Mumbai Maharashtra, India Barclays Full time

**Job Title**: India Business Oversight Compliance AVP
**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
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 part of the compliance function in the BBPLC India branch. The primary responsibility will include
providing support for Country Compliance and proactive management of RBI’s expectations under the Risk Based Supervision Framework activities. The role is also expected to provide advisory support, check and challenge on requirements and internal policies, conducting compliance reviews in line with the regulatory/ internal policy requirements and working closely with business stakeholders to provide direction and interpretation of regulatory requirements on an ongoing basis

What will you be doing?

**1. Compliance with Risk Based Supervision (RBS) obligations**:

- Timely submission of RBS Tranche reports
- Keep abreast of developments under the RBS framework and ensure Bank’s compliance with these obligations
- Provide oversight and check and challenge on data submitted by the Bank under RBS framework
- Plan, design and execute testing of data points of RBS Tranche III as expected of Compliance function
- Agree findings of such reviews with relevant stakeholders and issue reports
- Track closure of issues highlighted during such reviews
- Efficiently manage data requests from SSM office and handle queries
- Handling of on-site and off -site RBS Inspections
- Co-ordination for timely submission of information demand of SSM team
- Ensure periodic updates of Inspection to Senior management
- Participation in the inspection meetings and providing Compliance inputs
- Co-ordinate the dissemination of the draft and final inspection reports with various stakeholders
- Seek periodic update on progress made on issues highlighted in the final report
- Provide periodic update on open actionables to governance forums such as EXCO and Control Forum
- Check and challenge responses provided by stakeholders and submit the final responses to SSM team
- Manage implementation of new regulatory initiatives pertaining to compliance and communicate regulatory requirements to the all stakeholders
- Managing and monitoring of dissemination of regulatory guidelines / circulars to stakeholders
- Perform conformance testing to ensure embedment of regulatory guidelines
- Ensure orderly management of circular tracker and escalate circulars which have not been complied with
- Ensuring adequate liaison ad collaboration with regional stakeholders on group requirements for Examinations

**o Compliance Risk Reviews**:

- Design and implement the Compliance Risk review (CRR) on an annual basis
- Refresh the CRR on an on-going basis to ensure it reflect current risk environment
- Plan and execute Compliance Risk reviews / Verification Checks on a periodic basis
- Issue reports basis the reviews performed and agree remediation steps with Stakeholders
- Monitor actionables and provide periodic updates on open issues to Governance Forums
- Perform second line of defence testing on conduct risk controls as embedded by the first line of defence

**What we’re looking for**:
1. In-depth knowledge and understanding of the regulatory requirements across the functional areas.
2. Robust understanding of the various products and services offered by a Scheduled Commercial Bank with focus on RBI regulatory framework
3. Post graduate qualification (Graduate/CA/CS/MBA/LLB) and relevant experience commensurate with AVP role gained in the legal or compliance departments of an international investment bank or large domestic institution.
4. Strong knowledge of Indian business environment.
5. Ability to work closely with other functions to find both technical and procedural solutions.
6. Quick thinker with ability to understand complex transactions and explain compliance issues clearly and concisely.
7. Ability to learn quickly.
8. Ability to take independent decisions and guide business as well as to handle areas of difference with business and escalate.
9. Ability to perform independent reviews focused on regulatory requirements and conduct risk controls.
10. Detail oriented, strong team player with a proven track record

**Skills that will help you in the role**:
**1. Commercial Effectiveness**: Including client and conduct focus and commerciality.
**2. Control Environment**: Including risk management.
**3. Business Skills**: Including delivery

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