Compliance Assurance Review Lead

Purpose of the role

To provide assurance over the effectiveness of Compliance Risk Management across the bank. 

Accountabilities

• Development and refresh of the Compliance Assurance Annual Plan, ensuring that the Annual Plan focuses on areas of highest risk and value in relation to Compliance Risk.
• Delivery of risk-based assurance activity to validate the effectiveness of controls and processes designed to mitigate Compliance Risk.
• Identification of potential risks associated with non-compliance or control weaknesses in relation to Compliance Risk.
• Verbal and written communication of Compliance Assurance reports and issues to enhance the effectiveness of Compliance Risk management and oversight.
• Build, development and maintenance of effective relationships between Compliance Assurance and stakeholders across the three lines of defence.
• Proactive adoption of Data Analytics capabilities to increase the efficiency, effectiveness and coverage of Assurance work.
• Continued focus on the Barclays Mindset and Consistently Excellent to enhance the Assurance that we deliver, how it is delivered and the culture within the bank.

Vice President Expectations

• To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures..
• If managing a team, they define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements..
• 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 will be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment.
• Manage and mitigate risks through assessment, in support of the control and governance agenda.
• Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does.
• Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies.
• Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.
• Adopt and include the outcomes of extensive research in problem solving processes.
• Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills to achieve outcomes.

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.

Join us as Compliance Assurance Review Lead To provide assurance over the effectiveness of Compliance Risk Management across the bank.

Key responsibilities include:

• Development and refresh of the Compliance Assurance Annual Plan, ensuring that the Annual Plan focuses on areas of highest risk and value in relation to Compliance Risk.

• Delivery of risk-based assurance activity to validate the effectiveness of controls and processes designed to mitigate Compliance Risk.

• Identification of potential risks associated with non-compliance or control weaknesses in relation to Compliance Risk.

• Verbal and written communication of Compliance Assurance reports and issues to enhance the effectiveness of Compliance Risk management and oversight.

• Build, development and maintenance of effective relationships between Compliance Assurance and stakeholders across the three lines of defence.

• Proactive adoption of Data Analytics capabilities to increase the efficiency, effectiveness and coverage of Assurance work.

• Continued focus on the Barclays Mindset and Consistently Excellent to enhance the Assurance that we deliver, how it is delivered and the culture within the bank.

Essential Skills required for this role-

• Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment.

• Manage and mitigate risks through assessment, in support of the control and governance agenda.

• Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does.

• Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.

• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies.

• Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.

• Adopt and include the outcomes of extensive research in problem solving processes.

• Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills to achieve outcomes.

• Proactive adoption of Data Analytics capabilities to increase the efficiency, effectiveness and coverage of Assurance work.

Some other highly valued skills may include

• To contribute or set strategy, drive requirements and make recommendations for change.

• Plan resources, budgets, and policies; manage and maintain policies/processes; deliver continuous improvements and escalate breaches of policies/procedures.

• Subject matter expert within own discipline and will guide technical direction.

• Lead collaborative, multi-year assignments and guide team members through structured assignments.

• Train, guide and coach less experienced specialists.

• Provide information affecting long term profits, organisational risks and strategic decisions.

You may be assessed on the key critical skills relevant for success in role, including:

• Compliance Risk Management

• Risk assessment and control governance

• Data Analytics capabilities

• Stakeholder management

• Leadership and accountability for managing risk and strengthening controls

• Analytical thought, interpretative thinking and problem solving

• Influencing and negotiating skills

This role is based our of Pune.