Overview


Job title: Employee Conduct AVP

Company: Barclays

Job description: Job Title : Employee Conduct AVP Location: Pune About Barclays 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. Risk and Control Objective Take ownership for managing risk and strengthening controls in relation to the work you do Working Flexibly 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, and your request will be reviewed subject to business needs. Hybrid Working Structured hybrid role: At Barclays, we offer a hybrid working experience that blends the positives of working alongside colleagues at our onsite locations, together with working from home. We have a structured approach where colleagues work at an onsite location on fixed, ‘anchor’, days of the week, for a minimum of two days a week or more, as set by the business area (or nearest equivalent if working part-time hours). Please discuss the working pattern requirements for the role you are applying for with the hiring manager. Please note that as we continue to embed our hybrid working environment, we remain in a test and learn phase, which means that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business. Introduction: An Assistant Vice President (AVP) within the Employee Conduct Team will be required to provide coverage across employee conduct activities, including but not limited to Conduct Oversight, Personal Investments & Affiliations, Global Registrations, Conduct Rules, Mandatory Block Leave, Entity Authorisations. The Employee Conduct team helps Barclays to manage firm and personal conflicts more effectively while ensuring employees continue to uphold the Barclays Values and Behaviours. This role will be responsible for providing oversight and executing operational management of the processes being undertaken within the team in line with Barclays’ Compliance Policies and Standards. The role holder is expected to support the Employee Conduct VP to manage the wider team. In addition, the role holder is to generate, update and comprehend management information (MI), to facilitate the Employee Conduct leadership in discharging oversight and delivering key services to our stakeholders. The AVP will play a key role in leading projects & continue improvement within the team striving towards consistently excellent. A key element of the role is in the management of Risk and Controls, this may include carrying out quality assurance reviews, data reconciliation checks and annual review of all collateral, such as procedures, guides, policies, etc. What will you be doing Responsibilities and activities include, but are not limited to: . Provide leadership and oversee Employee Conduct processes and ensure adherence to the procedures . Provide coverage on Employee Conduct activities such as clearance of requests and exceptions, undertaking quality assurance including issuing breaches in line with specific team procedures. . Respond to colleague queries on their obligations and requirements and be ready to respond/assist within our Group-Wide Policy and Standards relating to Employee Conduct and be a point of escalation for complex queries received by the team. . Managing various key strategic initiatives and independently working on key deliverables (local and global), including assisting Technology on any system rollouts (i.e., design specifications, user requirements and testing), and participating in relevant team calls . Provide practical first line input in support of Technology colleagues, in the delivery of continuous improvement and fixes to our systems and technology platforms. . Ensure high control standards and high-quality work product through four eyes checks and supervisory reviews. . Lead on developing and executing key MI to support the oversight of services levels as well as identification of risks and issues. . Offer practical solutions and suggestions for process improvement – especially in identifying inefficiencies or weaknesses in current Employee Conduct workflows, controls or procedures. . Conduct training of our Group-Wide Policy and Standards relating to Employee Conduct . Oversee submissions to Regulators, perform reconciliation and investigate any errors . Maintaining certain information / data points in relevant Barclays systems, databases and other record keeping sources, including conducting quality assurance with respect of data entries made by the team and by others. . Review procedures and templates and ensure they are up to date and accurate What we’re looking for: . Ability to work independently and in a team and/or fast paced, high volume and changing environment . Ability to confront conflict and difficult issues in a professional, assertive and proactive manner while remaining sensitive to business needs . Self-starter willing to take on additional tasks and ad-hoc projects as requested . Ability to set clear expectations, meet deadlines, prioritize work, and multi-task . Ability to take proactive approach to problem solving with innovative and new ways of working ideas . Take Accountability and/or Ownership of the process managed by the Team . Confident and concise communication skills (verbal and written). . Capable of distilling complex concepts and effectively conveying them to people of varying seniority levels . Team player and willingness to share knowledge and/or develop new skills . Strong interpersonal skills, able to initiate, build and maintain good relationships Skills that will help you in the role: . Post-Graduation (or equivalent) degree, with 8-10 years of experience . Master or University degree or equivalent or work experience . Prior Compliance experience preferably in Regulatory and Employee Conduct Compliance . Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and colleagues . Experience of collaborating with global teams and leading strategic projects . Proficiency in application of the various MS Office Tools (i.e., PowerPoint, Access etc.) . Attention to detail, strong analytical skills and a diligent approach to understanding and confirming facts . Ability to work independently, assess issues and escalate as necessary . 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 controls . 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 . Ability to anticipate and provide solutions to complex problems. . Be ‘tech savvy’ interested by the opportunities technology provides for quality, efficiency or accuracy . LEAN or AGILE qualification, ideal (but not essential) Where will you be working Pune Be More at Barclays At Barclays, each day is about being more – as a professional, and as a person. ‘Be More @ Barclays’ represents our core promise to all current and future employees. It’s the characteristic that we want to be associated with as an employer, and at the heart of every employee experience. We empower our colleagues to Be More Globally Connected, working on international projects that improve the way millions of customers handle their finances. Be More Inspired by working alongside the most talented people in the industry, and delivering imaginative new solutions that are redefining the future of finance. Be More Impactful by having the opportunity to work on cutting-edge projects, and Be More Valued for who you are. Interested and want to know more about Barclays Visit home.barclays/who-we-are/ for more details. Purpose, Values and Mindset We deploy finance responsibly to support people and businesses, acting with empathy and integrity, championing innovation and sustainability, for the common good and the long term. Our values underpin everything we do: Respect, Integrity, Service, Excellence and Stewardship. Respect We harness the power of diversity and inclusion in our business, trust those we work with, and value everyone’s contribution. Integrity We operate with honesty, transparency and fairness in all we do. Service We act with empathy and humility, putting the people and businesses we serve at the centre of what we do. Excellence We champion innovation, and use our energy, expertise and resources to make a positive difference. Stewardship We prize sustainability, and are passionate about leaving things better than we found them. Our Mindset shapes how we take action, living by our Values, driven by our Purpose, always with our customers and clients at the heart of what we do our Mindset is to Empower, Challenge and Drive. Empower Trust and support each other to deliver. Make decisions with those closest to the topic. Include diverse perspectives. Celebrate success and learn from failure. Challenge Question whether things can be done better. Use insights based on data to inform decisions. Be curious about how we can adapt and improve. Speak up and be open to alternative viewpoints. Drive Focus on outcomes. Deliver with pace. Be passionate and ambitious about what we do. Take personal responsibility. Actively build collaborative relationships to get things done.

Location: Pune, Maharashtra

Job date: Sun, 21 Jan 2024 23:09:28 GMT