Employee Compliance Manager

Purpose of the role

To investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks.   Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls.   

Accountabilities

• Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices.
• Implementation of surveillance and monitoring systems to track and report on employee behaviour.
• Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.
• Completion of task and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards.
• Development and implementation of controls related to employee conduct that aligns with regulatory requirements and Barclays’ risk appetite and industry best practices.
• Provision of advice and assistance across Barclays on matters that relating to employee conduct.

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 "Employee Compliance Manager" 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 an Employee Compliance Manager, you should have

experience with

• Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices. 
• Implementation of surveillance and monitoring systems to track and report on employee  behaviour.
• Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.
• Completion of task and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards. 
• Development and implementation of controls related to employee conduct that aligns with regulatory requirements and Barclays’ risk appetite and industry best practices.
• Provision of advice and assistance across Barclays on matters that relating to employee conduct.

Some other highly valued skills may include

• Basic Knowledge of Employee Compliance areas (including but not limited to Personal Account Dealing, Outside Business Interests, Gifts and Entertainment, Registrations and Breach Management).Understand risk management and control
• Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities;
• Ability to interpret and analyze complex regulatory concepts and translate into simple summaries for employees and business
• Excellent communications skills and ability to engage with stakeholders in a productive and meaningful manner

Desirable Skills:

• 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 practices (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.

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

Location: Pune