BBPLC Control Room - VP

Purpose of the role

To manage Legal, Regulatory and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists. 

Accountabilities

• Evaluation of controls related to various banking activities, such advisory services provided in relation to Information Barrier Controls and the flow of MNPI. The critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.
• Monitoring and evaluation of potential risks arising from various business activities, regulatory changes, and internal control requirements.
• Investigation and analysis of reported control breaches, identification of root causes, and determination of the extent of the impact on the bank.
• Implementation of corrective actions to address identified control breaches, prevent recurrence, and strengthen internal control frameworks.
• Maintenance of comprehensive and up-to-date documentation of control room activities, including risk assessments, investigations, and corrective actions.
• Development and implementation of procedures for responding to and managing incidents or potential breaches of information barriers.
• Maintenance of accurate records of Inside Information, Watch List, Restricted list and Wall Crossings to ensure internal controls and risk management processes are effective.

Vice President Expectations

• To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures..
• If managing a team, they define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements..
• 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 be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment.
• Manage and mitigate risks through assessment, in support of the control and governance agenda.
• Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does.
• Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies.
• Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.
• Adopt and include the outcomes of extensive research in problem solving processes.
• Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills 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.

At Barclays, we don’t just adapt to the future – Embark on a transformative journey as BBPLC Control Room - VP, where you'll spearhead the evolution of our Compliance Control Room team which oversees Legal, Regulatory, and Reputational Risk across all business lines, focusing on key controls to manage Market Abuse and Conflicts of Interest through Information Barriers and Regulatory Insider Lists. It provides advisory services on Information Barrier Controls and the flow of MNPI, interacting daily with senior bankers to analyze private side transactions. This role involves leading the India Control Room, advising on information flows and barriers, and supporting the Global Head in enhancing processes and technology. Key responsibilities include managing deal updates and conflicts of interest questionnaires, requiring technology enhancements for global profiles in banker. You’ll be providing wall crossing and vetting request support, both time zone dependent, and developing Management Information (MI). Your role also centralizes Control Room breaches globally, maintains periodic reviews of information barriers, and conducts weekly and bi-monthly reviews of the Permanent Insider List. Additionally, it supports research chaperoning, which is time zone dependent.

To be successful as a BBPLC Control Room - VP, you should have experience with:

• Liaising with Senior Bankers: Evaluate risks and manage the Firm’s Watch and Restricted List.
• Advising on Information Flows: Act as a check and challenge function for Information Barriers and Inside Information.
• Guidance and Control Function: Oversee chaperoning requirements and vet communications between departments.
• Applying Firm-wide Restrictions: Advise on restricted activities and manage legal, regulatory, and reputational risks.
• Reviewing Wall Crossings: Maintain detailed records and monitor information barriers.
• Investigating Policy Breaches: Liaise with compliance teams and issue policy breach notifications.
• Drafting and Delivering Training: Update procedures and provide training as needed.
• Participating in Projects and Reviews: Engage in technology enhancements and assurance reviews.
• Maintaining Accurate Records: Ensure effective internal controls and risk management processes.
• Stakeholder Management: Play a crucial role in stakeholder management, building effective relationships and promoting collaborative communication in UK & India.
• Bachelor’s or master’s degree with relevant experience.

Some of Highly Valued Skills may include:

• Strong understanding of the rules and regulations relating to the Control Room
• Able to work in a fast paced, time sensitive environment
• Excellent communication skills both written and oral

You may be assessed on the key critical skills relevant for success in role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills.

The location for this role is Pune, IN.