AVP BBPLC Markets Business Oversight Compliance

Job Description

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.

Join us as an "AVP BBPLC Market Business Oversight Compliance Specialist" at Barclays where you'll be a part of a world-class, Third-Party Risk Management function managing external suppliers to ensure mitigation of risk, maintenance of supplier relationships as well as fulfilment of regulatory requirements.

To be a successful an "AVP BBPLC Market Business Oversight Compliance Specialist", you should have experience with (Mandatory)

• Excellent oral communication and writing skills in interacting with management across several multiple business lines and control functions

• Highly skilled at maintaining, organizing, and delivering management information for consumption by senior management stakeholders

• Can effectively work well with regional and global Compliance partners (i.e., ability to navigate a complex organization.

Some other highly valued skills may include (Mandatory):

• Knowledge of and interest in regulatory compliance requirements applicable to APAC markets businesses

• Experience in planning, executing, and reporting on assurance reviews or verification checks, audits, and other tests

• Prior experience maintaining related compliance procedures and assisting in the development of new policies and/or standards

 Desirable skills/Preferred Qualifications (Not mandatory):

• Prior experience working in a compliance, risk, or audit function

• Working knowledge of platforms to capture, organize, and distribute information (e.g., Salesforce)

Location: Nirlon Knowledge Park, Mumbai