Trade Monitoring Support

3 weeks ago

Pune, India Barclays Full time

Job Title: Trade Monitoring support
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.
- 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

What we’re looking for:

- Extensive proven experience in Operational Risk and Controls, Project management
- Prior experience with Markets front office trading businesses, including an understanding of trade / transactional data
- Basic Project Management skills
- Strong Excel skills including extensive experience in managing large quantities of data, pivots, formulas, Vlookup
- Experience of working in or within a Control type role / team and ability to demonstrate a risk management mindset.
- Excellent written and verbal Communication.
- Able to demonstrate experience of coordinating and supporting Stakeholders
- Experience of working on the design and implementation of controls improvement initiatives.
- Experience of reviewing of policy & standards, preparing gap analysis and delivering actions to complete
- Master’s degree in finance or other equivalent qualifications
- 7+ years’ experience
- Ability to work independently on multiple projects/reports simultaneously
- Analytical skills
- Eye for detail (access to large databases)
- Knowledge in investment banking/capital markets

Skills that will help you in the role:

- Working knowledge and practical experience of the regulations and standards of relevant industry bodies and organisations.
- Experience of working with other Control and three lines of defence teams to share ideas, best practices and ensure consistency of experience across Businesses and Risks
- Experience in Data Analytics/ Data Science in Risk and Control space
- Front Office Risk and Control experience preferred.
- Knowledge of the Software Development Lifecycle, including experience with the Agile develo

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