Overview
To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in compliance with Barclays legal, regulatory and ethical responsibilities.
Responsibilities
* Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems.
* 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.
* Regulatory and Compliance experience in a global, universal bank.
* Understanding of the global regulatory framework.
* Strong understanding and insight into Customer Protection risks and the wider regulatory landscape.
* Compliance professional with comprehensive experience in the industry and of the regulatory environment.
* Understanding of financial services and ability to demonstrate thought leadership.
* Experience of working with senior stakeholders.
* Partnering, influencing and collaboration with stakeholders and peers.
* Strong written and oral communication skills particularly as relates matters of law and regulation and how they apply to business and client matters.
Director Expectations
* To manage a business function, providing significant input to function-wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business-wide.
* They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation-wide projects and act as a deep technical expert and thought leader, identifying new ways of working and collaborating cross-functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions.
* Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function-wide strategic initiatives.
* Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
* Escalates breaches of policies / procedures appropriately.
* Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
* Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
* Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
* Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
* Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/sensitive situations.
* Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
* Negotiate with and influence stakeholders at a senior level both internally and externally.
* Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
* Mandated as a spokesperson for the function and business division.
Behavioural and Capability Standards
All Senior 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.
Desirable / Preferred Qualifications
* Regulatory and Compliance experience in a global, universal bank.
* Understanding of the global regulatory framework.
* Strong understanding and insight into Customer Protection risks and the wider regulatory landscape.
* Compliance professional with comprehensive experience in the industry and of the regulatory environment.
* Understanding of financial services and ability to demonstrate thought leadership.
* Experience of working with senior stakeholders.
* Partnering, influencing and collaboration with stakeholders and peers.
* Strong written and oral communication skills particularly as relates to matters of law and regulation and how they apply to business and client matters.
* The candidate will ideally have a degree level education and academic track record.
* Professional qualifications, certifications and/or registrations relevant to Compliance.
Note
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.
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