Compliance Assurance Conduct VP
Locations: London/Northampton/ Manchester
Length of contract: 6 months initially
Overall purpose of role:
Supporting Compliance in achieving its mission, purpose and objectives by providing an assurance capability to meet the demands of a world class Compliance function. The Assurance professional will be responsible for leading and executing assurance reviews and/or issue validation to assess and report on Conduct, Financial Crime and/or Reputational Risk Management, behaviours and attitudes. Ensuring Compliance with applicable Regulatory, Legislative, and Compliance Policy and Standard requirements, across all of the Barclays legal entities.
⦁ Design and deliver reviews that provide strong insight and value by identifying risks and issues, or examples of good practice. Clearly articulating root causes, outcomes and consequences to support corrective actions or the further embedding of robust controls and processes at a fundamental level.
⦁ Adopt Data Analytics to use logic and analytical skills in reviews while providing assurance and identifying issues.
⦁ Lead reviews to ensure you and your review team adhere to the Compliance Assurance methodology in the execution of reviews (throughout planning, testing, and reporting) and the monitoring and validation of issues and actions. Being fully accountable for working papers being completed timely and accurately, with clear and concise findings.
⦁ Lead assurance activities that identify risk/control/outcome deficiencies of the upmost relevance, providing valuable insights and informed opinions. Prepare robust action plans designed to materially and sustainably mitigate the risks identified in the issue.
⦁ Provide cultural leadership through recognising and valuing differences, e.g. through collaboration across diverse networks.
⦁ Support staff with effective coaching and identify development areas. Provide opportunities for staff to improve and showcase their skills demonstrating collaborative team work.
⦁ Constantly strive for, and implement, better ways of working to demonstrate increased efficiency and productivity, demonstrate forward planning, utilising less resource(s) by meeting planned timescales or bringing review in ahead of schedule with effective allocation of tasks, utilising reviewers’ strengths.
⦁ Realise efficiencies within the Standard Review lifecycle that both heightens the overall assurance product effectiveness and allows for compression of the end to end lifecycle timeline, without compromising quality of work. Ability to quickly identify resource constraints or spare capacity to manager.
⦁ Keep up to date on business developments, regulatory change, internal policies and Compliance objectives so that Compliance Assurance work remains relevant, timely and valuable.
⦁ Aid continual review and development of the annual review plan through assessing the conduct, reputational and regulatory risks of existing business activities and new business initiatives, or changes to internal and external factors that might impact the business in meeting conduct and regulatory expectations. Agreeing review coverage and development of clearly articulated review scope.
The role holder will demonstrate cultural leadership skills, through recognising and valuing differences, through collaboration across diverse networks and enhance the Compliance Culture within the organisation in a manner consistent with the Barclays’ company purpose, values and mind-set.
Proven ability to motivate, coach and develop others, experience in leading a team.
Essential Skills/Basic Qualifications:
⦁ Strong investigative skills with the capability to identify key risks and areas of non-conformance with regulatory and legislative requirements and lack of controls, identify root cases, themes and trends.
⦁ Experience of discussing contentious observations with management and recommending necessary actions.
⦁ Excellent Report Writing skills.
⦁ Strong analytical skills/mind with ability to deliver high quality work in a timely and structured manner.
⦁ Shares knowledge across the wider Compliance Assurance function fostering best practise.
⦁ Own and drive personal learning and development to support achievement of career aspirations.
⦁ Working knowledge or prior experience of working with an Automated Assurance team to increase the use of data driven testing and data analytics within reviews.
Desirable skills/Preferred Qualifications:
⦁ Professional qualification in Compliance or Conduct Assurance / Financial Crime management role.
⦁ Technical compliance knowledge and the application of FCA or comparable rules and guidance in relation to relevant Barclays’ Businesses.
⦁ Management capability - able to manage multiple tasks across a variety of business areas and topics while delivering reviews according to plan in a timely and complete fashion.
Where will you be working?
London / Northampton/ Manchester (3 days WFH and 2 days in the office)
Interested and want to know more about Barclays? Visit home.barclays/who-we-are/ for more details.
Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate and investment bank, all of which are supported by our service company which provides technology, operations and functional services across the Group.
Everything we do is shaped by the five values of Respect, Integrity, Service, Excellence and Stewardship. Our values inform the foundations of our relationships with customers and clients, but they also shape how we measure and reward the performance of our colleagues. Simply put, success is not just about what you achieve, but about how you achieve it.
We aim to foster a culture where individuals of all backgrounds feel confident in bringing their whole selves to work, feel included and their talents are nurtured, empowering them to contribute fully to our vision and goals.
Our customers are unique. The same goes for our colleagues. That's why at Barclays we offer a range of benefits, allowing every colleague to choose the best options for their personal circumstances. These include a competitive salary and pension, health care and all the tools, technology and support to help you become the very best you can be. We are proud of our dynamic working options for colleagues. Where appropriate, and for UK based roles, we will consider requests that the role be based at alternative Barclays’ key UK location from that advertised.
We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognises and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees, globally to work flexibly empowers each of us to work in a way that suits our lives as well as enabling us to better service our customers’ and clients’ needs. Whether you have family commitments or you’re a carer, or whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life. If you would like some flexibility, then please discuss this with the hiring manager.