Employee Compliance Analyst

Join us as an Employee Compliance Analyst 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.

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 an Employee Compliance Analyst , 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 behavior.

• 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 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 trans late into simple summaries for employees and business.

• Excellent communications skills and ability to engage with stakeholders in a productive and meaningful manner.

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

The role is based out of Pune.

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.

Analyst Expectations

• Will have an impact on the work of related teams within the area.
• Partner with other functions and business areas.
• Takes responsibility for end results of a team s operational processing and activities.
• Escalate breaches of policies / procedure appropriately.
• Take responsibility for embedding new policies/ procedures adopted due to risk mitigation.
• Advise and influence decision making within own area of expertise.
• Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct.
• Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function.
• Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
• Make evaluative judgements based on the analysis of factual information, paying attention to detail.
• Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents.
• Guide and persuade team members and communicate complex / sensitive information.
• Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.