Compliance Assurance Review Lead

1203 Barclays Global Serv. Cent; Pune District; On-site; INR 3,500,000 - 5,500,000; Full time

Job summary

Barclays in Pune seeks a VP-level Compliance Assurance professional to lead the end-to-end Assurance over Compliance Risk Management. You will shape the annual plan, drive risk-based assurance activities, and communicate findings to senior stakeholders, strengthening controls and governance across the three lines of defence.

The role emphasizes data analytics adoption, collaboration with diverse teams, and alignment with Barclays Values and Mindset to deliver excellent assurance culture.

Qualifications

• Advising key stakeholders and senior management on functional and cross-functional impact and alignment.
• Managing risk through assessment and governance.
• Leading and accountable for strengthening controls within the team.
• Understanding organisation functions to achieve business goals.
• Collaborating across areas to stay aligned with business strategies.
• Creating solutions using analytical thinking and evaluating complex options.
• Conducting extensive research to inform problem solving.
• Building trusted relationships with internal and external stakeholders to achieve objectives.
• Proactively using Data Analytics to enhance assurance work.

Responsibilities

• Development and refresh of the Compliance Assurance Annual Plan focusing on high-risk areas.
• Delivery of risk-based assurance to validate control effectiveness.
• Identify risks related to non-compliance or control weaknesses.
• Communicate assurance findings to enhance risk management and oversight.
• Build and maintain relationships across the three lines of defence.
• Adopt data analytics to improve efficiency, effectiveness, and coverage of assurance work.
• Uphold Barclays Mindset and Consistently Excellent in delivering assurance.

Skills

Compliance Risk Management

Data Analytics

Stakeholder management

Leadership

Risk assessment

Problem solving

Analytical thinking

Job description

Job Description

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 elevate 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.

Compliance Assurance Review Lead

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

Key responsibilities

• 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.
• 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 escape 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.

Key critical skills relevant for success in role

• 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.

Our Work Experience is the combination of everything that's unique about us: our culture, our core values, our company meetings, our commitment to sustainability, our recognition programs, but most importantly, it's our people. Our employees are self-disciplined, hard working, curious, trustworthy, humble, and truthful. They make choices according to what is best for the team, they live for opportunities to collaborate and make a difference, and they make us the #1 Top Workplace in the area.