UK Private Bank & Wealth Management Business Oversight Compliance Lead | London, UK

Barclays; London; On-site; GBP 70,000 - 110,000; Full time

Job summary

A leading financial institution is seeking a Compliance Lead to ensure the organization meets all legal, regulatory, and ethical standards. The role involves assessing compliance risks, conducting investigations, and providing expert oversight across various business operations. Ideal candidates will have a strong background in Financial Crime regulations and excellent stakeholder coordination skills, contributing to strategic compliance initiatives.

Qualifications

• Expertise in Financial Crime regulation and risk mitigation.
• Highly organized with strong written communication skills.
• Experience with mass affluent portfolio business.

Responsibilities

• Identify and assess compliance risks through business reviews.
• Conduct investigations of compliance breaches.
• Collaborate with Compliance teams and legal functions.

Skills

Financial Crime regulation

Coordination skills

Understanding of business segments

Written communication skills

Mass affluent portfolio experience

Education

Financial Crime qualification

Job description

UK Private Bank & Wealth Management Business Oversight Compliance Lead

Job Description

Purpose of the role

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

Accountabilities

• Identify and assess compliance risks through reviews of business activities, changes, processes, testing, and systems.
• Investigate potential market abuse, including Insider Dealing, Unlawful Disclosure, Market Manipulation, or Anti-Competitive Conduct.
• Conduct investigations of compliance risk events or breaches, oversee corrective actions, and implement preventative measures.
• Implement compliance policies and procedures aligned with regulatory requirements and international standards, including jurisdictional specifics.
• Collaborate with 1LOD, other Compliance teams, legal, and risk management functions for comprehensive compliance and risk management.
• Identify, investigate, and oversee 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 sub-function, or act as a technical expert and thought leader on organization-wide projects.
• Provide expert advice to senior management and committees, influencing decisions beyond own function.
• Manage resourcing, budgeting, and policy creation for a significant sub-function.
• Escalate breaches appropriately, foster compliance, and ensure regulatory adherence.
• Monitor and influence external environment, regulators, and advocacy groups as appropriate.
• Maintain knowledge of industry practices, external developments, and sector insights.
• Use analytical skills to solve complex problems and design solutions.
• Make significant and strategic decisions within own area, influence stakeholders, and act as a principal contact for key clients.

All senior leaders are expected to demonstrate leadership behaviors: Listen and be authentic, Energise and inspire, Align across the enterprise, Develop others. Colleagues should embody Barclays' values: Respect, Integrity, Service, Excellence, and Stewardship, and demonstrate the Barclays Mindset: Empower, Challenge, and Drive.

Job Skills Required:

Essential Skills/Qualifications:

• Expertise in Financial Crime regulation, guidance, and risk mitigation strategies.
• Strong coordination skills across stakeholders.
• Understanding of different business segments, products, and associated financial crime risks.
• Highly organized with excellent written communication skills.
• Experience with mass affluent portfolio business.

Preferred Skills/Qualifications:

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

Finance supports the economy by acting transparently and responsibly, helping people and businesses thrive.