Compliance Framework

5 days ago

Pune Maharashtra, India Barclays Full time

.

**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**
- 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 contribute to the achievement of the objectives of the organisation sub-function.
- Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.
- Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.
- Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.
- Influence or convince stakeholders to achieve outcomes.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship - our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset - to Empower, Challenge and Drive - the operating manual for how we behave.

  • Compliance Counsel Associate

    3 days ago

    Pune, Maharashtra, India Tata Technologies Full time

    Strong knowledge of regulatory framework and compliances in India and International laws-Regulatory Compliance Management expe rience.Training experience-Audit Support-Data Analysis and Reporting-Must be Law graduate-4-5 years of PQE-Proficiency in Compliance Management software and tool-Strong knowledge of regulatory framework and compliances in India and...

  • Compliance Officer- Afc

    2 weeks ago

    Pune, Maharashtra, India Deutsche Bank Full time

    **Compliance Officer - AFC & Compliance Testing**: **Job ID**:R0402103 **Full/Part-Time**:Full-time **Regular/Temporary**:Regular **Listed**:2025-08-14 **Location**:Pune **Position Overview**: **Job Title: Compliance Officer - AFC & Compliance Testing** **Corporate Title: Associate** **Location: Pune, India** **Role Description** - The DWS...

  • IT Audits and Compliance

    2 weeks ago

    Pune, Maharashtra, India Fibe Full time

    **Location**: Pune **Core Responsibilities**: - Proficiency in compliance with frameworks like ISO 27001, SOC 2, PCI DSS, ITGC, or other relevant standards. - Hands-on experience conducting on-site and remote assessments of third-party vendors to evaluate their security posture and related controls. - Must be CISA certified. - Proficiency in MS Office...

  • Compliance Officer

    1 week ago

    Pune, Maharashtra, India Mahir Full time ₹ 20,00,000 - ₹ 25,00,000 per year

    Role & Responsibilities:Handle compliance requirements related to SEBI, NSE, BSE, AMFI, and other regulatory bodies.Prepare and file periodic compliance reports, returns, and documentation as required by regulators.Draft, update, and maintain internal policies, SOPs, disclaimers, and compliance frameworks for the organization.Ensure that all advisory...

  • Compliance Analyst

    5 days ago

    Pune, Maharashtra, India ZOOP Full time ₹ 5,00,000 - ₹ 12,00,000 per year

    Role:Compliance AnalystLocation:Pune, IndiaEmployment Type:Full-timeKey Responsibilities:Compliance & StandardsSupport compliance programs across ISO 27001, 27017, 27018, 27701, SOC 2 Type II, CASA.- Maintain trackers, evidence sheets, and control status dashboards.- Flag delays or risks and proactively follow up with stakeholders.DPDP (India)...

  • Compliance Manager, Compliance

    2 days ago

    pune, India CITIC Full time

    Key Areas of ResponsibilitiesGeneral electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulationInvestigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessaryDrive continuous...

  • Regulatory Compliance Office Ba4

    2 weeks ago

    Pune, Maharashtra, India Barclays Full time

    Join us as a "Regulatory Compliance Office " at Barclays, where you'll spearhead the evolution of our digital landscape, driving innovation and excellence. You'll harness cutting-edge technology to revolutionize our digital offerings, ensuring unapparelled customer experiences. To be successful as a [Regulatory Compliance Office], you should have experience...

  • Compliance Executive

    1 week ago

    Aundh, Pune, Maharashtra, India LCF (Lighthouse Communities Foundation) Full time

    **About Lighthouse Communities Foundation** Lighthouse Communities Foundation is a non-profit organization dedicated to enabling **skilling and livelihood opportunities** for underserved youth through a unique **public-private partnership (PPP)** model. Our program brings together Government, Corporates, NGOs, and Citizens to drive socio-economic...

  • Technology Policy

    2 weeks ago

    Pune, Maharashtra, India Apex Group Full time

    The Apex Group was established in Bermuda in 2003 and is now one of the world s largest fund administration and middle office solutions providers Our business is unique in its ability to reach globally service locally and provide cross-jurisdictional services With our clients at the heart of everything we do our hard-working team has successfully delivered...

  • Sales License Compliance Specialist

    3 weeks ago

    Pune, Maharashtra, India PTC Full time

    Conduct on-site and mid-to-large scale license compliance reviews reconciling software deployment and entitlement records Complete license reviews within defined timelines and targets Communicate and negotiate with customer leadership teams to resolve compliance issues Identify licensing gaps and provide expertise on software asset management Maintain...