Employee Compliance Analyst

Join us as an Employee Compliance Analyst 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 Employee Compliance Analyst, as well as job-specific skillsets.

To be successful as an Employee Compliance Analyst, you should have experience with:

• Provide coverage on Employee Compliance 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 Compliance.

• Understand, explain, and advise on Employee Compliance policy requirements to employees as required.

• 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.

• Offer practical solutions and suggestions for process improvement - especially in identifying inefficiencies or weaknesses in current Employee Compliance workflows, controls or procedures.

• Participate in both local and global project initiatives, including assisting Technology on any system rollouts (i. e. design specifications, user requirements and testing).

• Identify risks or issues for escalation to leadership, and pro-actively recommend solutions.

Essential Qualifications:

• 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.

Desirable skillsets:

• 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.

This role will be 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

• To meet the needs of stakeholders/ customers through specialist advice and support
• Perform prescribed activities in a timely manner and to a high standard which will impact both the role itself and surrounding roles.
• Likely to have responsibility for specific processes within a team
• They may lead and supervise a team, guiding and supporting professional development, allocating work requirements and coordinating team resources. They supervise a team, allocate work requirements and coordinate team resources.
• If the position has leadership responsibilities, People 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.
• OR for an individual contributor, they manage own workload, take responsibility for the implementation of systems and processes within own work area and participate on projects broader than direct team.
• Execute work requirements as identified in processes and procedures, collaborating with and impacting on the work of closely related teams.
• Check work of colleagues within team to meet internal and stakeholder requirements.
• Provide specialist advice and support pertaining to own work area.
• 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 all teams in area contribute to the objectives of the broader sub-function, delivering impact on the work of collaborating teams.
• Continually develop awareness of the underlying principles and concepts on which the work within the area of responsibility is based, building upon administrative / operational expertise.
• Make judgements based on practise and previous experience.
• Assess the validity and applicability of previous or similar experiences and evaluate options under circumstances that are not covered by procedures.
• Communicate sensitive or difficult information to customers in areas related specifically to customer advice or day to day administrative requirements.
• Build relationships with stakeholders/ customers to identify and address their needs.