Supervision Lead - Investment Banking Chief Controls Office

Purpose of the role

To assess the integrity and effectiveness of the banks internal control framework to support the mitigation of risk and protection of the banks operational, financial, and reputational risk.  

Accountabilities

• Collaboration with various stakeholders across the bank and business units to improve overall control effectiveness through detailed documentation of control assessments, procedures, and findings.
• Identification and investigation of potential weaknesses and issues within internal controls to promote continuous improvement and risk mitigation aligned to the bank’s control framework, prioritised by its severity to disrupt bank operations.
• Development of reports to communicate key findings from risk assessment including control weaknesses and recommendations to control owners, senior management, and other stakeholders.
• Execution of reviews to determine the effectiveness of the bank's internal controls framework aligned to established and evolving policies, regulation, and best practice.
• Implementation of adherence to the Barclays Controls Framework and set appropriate methodology of assessing controls against the Controls Framework.

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.

Join Barclays as Supervision Lead - Investment Banking Chief Controls Office, where you’ll play a pivotal role by implementing a supervisory governance framework that enables Investment Banking to achieve its business goals in a demonstrably safe and controlled manner, within the risk appetite of the firm and in compliance with regulations. You will be working with business and functions on all aspects of risk and control related activities including- remediation activities because of Trading Controls regulatory requirements and/or internal Assurance identified issues, helping to drive control initiatives globally to ensure the business is effectively managing all its operational and conduct risks. You will be working with business and functions to compile reports or required data on the status of Governance for the business line control meetings, and regulatory enquiries. You will be helping to build an end-to-end trading supervision system for Investment Bank business improving architecture & design, user experience, connect-the-dots capabilities by processes, procedures, risks, in accordance with regulations and the Barclays Control Framework and ensuring the business has the capability to identify, design and implement appropriate business controls and testing and quality assurance that ensures risks are flagged and highlighted proactively and providing expert technical advice and insight to support. You will be engaging with the global Control Business Partners, Business Management, Supervisors, and other Key Stakeholders to provide regular feedback on control initiatives.

To be successful as Supervision Lead - Investment Banking Chief Controls Office, you should have:

• Highly analytical and numerate with exceptional problem-solving abilities and comprehensive knowledge on Operational Risk and Capital Markets.
• Well organised with good time management skills and the ability to meet tight deadlines and prioritise tasks. Ability to multi-task and prioritise accordingly in a highly pressurised environment.
• Should have demonstrated management of team with high performers.
• Ability to develop relationships with internal clients to understand and address their needs and eagerness to take initiative and promote process improvements.

Some other highly valued skills may include:

• 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.
• Working Knowledge in MS Office Suite.
• Excellent MS Power Point presentation skills.
• Knowledge of MS Access, Python, SQL, VBA preferred.

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.

This role is based in our Mumbai office.