Compliance Assurance - Issues Management

Join us as a Compliance Assurance - Issues Management at Barclays, where youll spearhead the evolution of our digital landscape, driving innovation and excellence. Youll harness cutting-edge technology to revolutionize our digital offerings, ensuring unapparelled customer experiences.

You may be assessed on the key critical skills relevant for success in role, such as experience with Assurance, as well as job-specific skillsets.

To be successful as Compliance Assurance - Issues Management, you should have experience with:

• Assessing the validity and accuracy of Conduct Risk, including Financial Crime, issues and associated action plans (incl. DWBs, Lessons Learned, Risk Events and other exceptions) raised to support the Compliance Standards delegates in approving relevant Conduct Risk issues prior to issue publication, changes or milestone conversion.

• Conducting Issue Closure Validation review to confirm that the evidence provided by the Business is sufficient to confirm validation of the issue through desktop review of the evidence provided in the Issue Closure Pack.

• Oversight and tracking of Issues submitted for approval to the Assurance Global Services Issues Management Services team.

• Management and oversight of any other matters within the Compliance Issues Management Inventory (additions, removals, changes and reconciliations) including running and maintaining the operational tracking dashboard.

• Working with wider Assurance Global Services Issues Management Services team colleagues on the production of Compliance Assurance Management MI, including Compliance Assurance and Issues Management operational effectiveness and risk effectiveness metrics, and a pipeline of issues falling due for the Heads of Compliance Assurance.

Essential Qualifications:

• Confident, positive and proactive, with strong organizational skills and resilient personality.

• Ability to engage and build relationships with senior stakeholders.

• Ability to make decisions and solve problems with a proven track record of well-considered judgements.

• Excellent written and verbal communication skills.

Desirable skillsets:

• Previous experience in Compliance Assurance/Monitoring & Testing, Controls Testing, Quality Assurance, Investigations or Audit, Issues Management

• Displays professional skepticism, raising and discussing contentious observations with management; able to adapt style when necessary.

• Excellent written and verbal communication skills; able to communicate compliance issues in a non-technical way.

• Graduate

• Strong Excel and PowerPoint skills

• Demonstrates well-considered judgments and anticipates emerging risks

• Project Management skills

• Desire to improve technical knowledge through self-learning or training including mandatory CPE requirements.

• Ability to make decisions and solve problems with a proven track record of well-considered judgement.

This role will be based out of Pune.

Purpose of the role

To provide operating and administrative support to senior leaders, simultaneously shaping and executing long-term strategic change, whilst helping to navigate complex challenges in the performance of their roles

Accountabilities

• Implementation of Target Operating Model, business development, and financial and non-financial resource allocation, providing strategic insight and thought leadership.
• Strategic support to and oversight of demand pipeline and the book of work, including assistance in the development and execution of strategic initiatives, projects, research, and analysis to support decision-making.
• Support to and guidance for operational efficiency and colleague/customer/client experience within the organisation, including the identification of areas for improvement, streamlining of processes, and implementation of best practices to enhance productivity, effectiveness and experience.
• Management of of people plan, talent development and succession planning including the identification of high-potential employees, provision of mentorship and guidance, and support to leadership development and diversity initiatives.
• Communication with internal and external stakeholders, management of communication channels and ensuring effective coordination across different departments and teams.
• Participation in compliance activities such as SMR and other regulatory registrations/certifications, as well as support for crisis management and risk mitigation, including the development of contingency plans, coordination of responses to emergencies, and business continuity.
• Management of all organisational/team requirements relating to technology, real estate, people and communications in conjunction with relevant partners across the firm.
• Enablement of oversight of risk management and compliance with internal and external requirements, including internal Governance on critical control activities in partnership with the CCO team, such as Records Inventory and RCSAs.
• Cost control and workforce management of the Business/Function, including involvement in financial analysis and planning, forecasting, and monitoring of financial performance against targets.

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.