Bbplc Business Oversight Compliance

2 months ago

Pune Maharashtra, India Barclays Full time

Join us as an AVP in the BBPLC Business Oversight Compliance team at Barclays, where you’ll be part of a highly skilled and dedicated team providing oversight of Conduct and Reputational risk within the diverse group of businesses comprising BBPLC (Investment Bank, UK Corporate Bank, Private Bank & Wealth Management and US Consumer Bank).

You will part of implementing the Compliance strategy aligned to our purpose to protect our customers, clients and colleagues, and promote trust and integrity in the financial system, delivering our vision to be a world-class influential Compliance function, respected for being pro-active, offering deep expertise and data-driven insight.

To be a successful AVP in the BBPLC Business Oversight Compliance team, you should have experience with (mandatory)

1. Risk identification and assessment, mitigation and management and monitoring.

2. Working in a fast-paced environment, managing a diversified book of work with varying priorities and deadlines;
4 Executing projects and change-management initiatives with regulatory impacts to deliver proportionate and pragmatic solutions;
5. Developing policies, controls and processes to deliver high quality work product to required timelines;

7. Developing and delivering management information and performance metrics to support escalation and awareness of key issues.

Some other highly valued skills may include (mandatory):

- Subject Matter Expertise either with respect to the operation of a Compliance function or the business activities performed within BBPLC.
- Excellent written and oral communication skills.
- Strong commercial and industry awareness.
- Strong problem solving and decision-making skills are essential.
- Expected to collaborate with a range of stakeholders across the firm, including the business and other control functions.
- Strong team player with ability to quickly build effective working relationships.

Location: Pune

**Purpose of the role**

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities.

**Accountabilities**
- Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
- Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
- Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
- Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
- Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
- Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

**Assistant Vice President Expectations**
- To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions.
- Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function. Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes
- If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L - Listen and be authentic, E - Energise and inspire, A - Align across the enterprise, D - Develop others.
- OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.
- Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
- Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.
- Take ownership for managing risk and strengthening controls in relation to the work done.
- Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contri

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