UK Private Bank & Wealth Management Business Oversight Compliance Lead

Barclays; London; On-site; GBP 70,000 - 100,000; Full time

Job summary

Une grande institution financière recherche un expert en conformité pour superviser et vérifier les questions de conformité réglementaire et éthique. Le rôle nécessite une forte expertise en matière de crimes financiers et des compétences en gestion d'équipe pour influencer les décisions stratégiques.

Benefits

Opportunités de développement professionnel

Programme de bien-être des employés

Qualifications

• Expérience dans la gestion de portefeuilles mass affluent.
• Compréhension des risques juridiques et géopolitiques.
• Connaissance de la gestion de projets et des procédures.

Responsibilities

• Identification et évaluation des risques de conformité.
• Enquête sur les abus de marché.
• Implémentation des politiques de conformité.

Skills

Financial Crime regulation expertise

Stakeholder coordination

Written communication

Understanding of financial crime risks

Education

Financial Crime qualification

Job description

Job Skills Required:

Essential Skills/Basic Qualifications:

• Strong SME across Financial Crime regulation, guidance, and risk mitigation strategies.
• Skilful coordination in working across a wide range of stakeholders both within and beyond the function.
• Understanding of different business segments, products, and the associated financial crime risks.
• Highly organised and structured with excellent written communication skills.
• Experience with mass affluent portfolio business.

Desirable skills/Preferred Qualifications:

• Robust understanding of jurisdictional risks and geopolitical developments.
• Understanding of project management lifecycle and governance.
• Financial Crime qualification.

Purpose of the role

To provide data-led expert oversight, check, and challenge on business and compliance matters to ensure the organization operates in compliance with Barclays' legal, regulatory, and ethical responsibilities.

Accountabilities

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing, and systems.
• Investigation of potential market abuse, including Insider Dealing, Unlawful Disclosure, Market Manipulation, or Anti-Competitive Conduct.
• Conduct investigations of compliance risk events or breaches and oversee corrective actions to prevent future occurrences.
• Implementation of compliance policies and procedures aligned with regulatory requirements and international standards.
• Collaboration with 1LOD, other compliance teams, legal, and risk management functions for comprehensive risk management.
• Identification, investigation, and oversight of potential money laundering, terrorist financing, or other financial crimes.

Director Expectations

• Manage a business function, contribute to strategic initiatives, and influence policy and procedures.
• Lead a large team or manage organization-wide projects, acting as a technical expert and thought leader.
• Provide expert advice to senior management and committees to influence decisions.
• Manage resourcing, budgeting, and policy creation for a significant sub-function.
• Escalate breaches of policies/procedures appropriately.
• Foster compliance and ensure regulatory adherence.
• Monitor and influence external environment, regulators, and advocacy groups.
• Maintain knowledge of industry practices and external developments.
• Use analytical skills to solve complex problems and design solutions.
• Make significant strategic decisions within own area.
• Negotiate and influence stakeholders at senior levels.
• Act as principal contact for key clients and counterparts.
• Serve as a spokesperson for the function and business division.

All Senior Leaders are expected to demonstrate leadership behaviors: Listen and be authentic, Energise and inspire, Align across the enterprise, Develop others.

All colleagues are expected to embody Barclays Values: Respect, Integrity, Service, Excellence, and Stewardship, and demonstrate the Barclays Mindset: Empower, Challenge, Drive.