Compliance Framework & Policies AVP

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 a “Compliance Framework & Policies AVP” 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 a successful "“Compliance Framework & Policies AVP", you should have experience with (Mandatory)1. Knowledge of the Conduct regulatory environment and risk management frameworks2. Stakeholder Management Experience3. Excellent Communication Skills4. Experience of drafting Policies, Standards, and/or ProceduresSome other highly valued skills may include (Mandatory):

• Experience of working within a highly regulated environment along with a sound understanding of the current environment and key issue within financial services.
• Experience of drafting Policies, Standards, and/or Procedures.
• Proactively identify improvements needed within the Compliance Risk Framework, Policies and Standards.
• Provide subject matter expertise on Compliance Policies and Standards, and support Regulatory Examinations and Audits, where required.
• Provide subject matter expertise into Compliance mandatory training, ensuring it remains up-to-date and fit for purpose.
• Drive Policy and Standard related projects, providing advice and guidance as appropriate.

 Desirable skills/Preferred Qualifications (Not mandatory):

• Knowledge of the Conduct regulatory environment and risk management frameworks.
• Understanding of US, UK, EU and other jurisdictional laws, rules, regulations, regulatory expectations, and industry best practice.
• Proven track record of stakeholder management skills, with strong negotiation and influencing skills.
• Strong organizational, planning, and problem-solving skills, ability to multi-task and demonstrate flexible thinking.
• Excellent written and verbal communication skills.

Location: Pune