Thematic Risk Oversight

Barclays; Pune District; Vor Ort; INR 1.800.000 - 2.800.000; Vollzeit

Zusammenfassung

Barclays in Pune is seeking a Thematic Risk Oversight - AVP to provide data-led oversight and challenge on regulatory and ethical commitments. You will identify, assess, and mitigate compliance risks while collaborating with Compliance, Legal, Risk, and other control functions to strengthen the firm’s risk framework.

The role emphasises independent oversight, investigation of risk events, and proactive remediation with a focus on market abuse risks and financial crime controls in a fast-paced

Qualifikationen

• Strong understanding of Compliance and Risk Management frameworks.
• Experience identifying, assessing, and monitoring compliance risks.
• Ability to conduct investigations into compliance breaches and risk events.
• Experience with data analytics to support oversight activities.

Aufgaben

• Provide independent oversight and challenge across business activities.
• Identify emerging compliance risks and investigate risk events.
• Collaborate with Compliance, Legal, Risk, and control functions to strengthen framework.
• Support governance and policy development for compliance program.
• Oversee potential financial crime risks and ensure remediation.

Kenntnisse

Compliance knowledge

Risk management

Investigation skills

Data analytics

Stakeholder engagement

Regulatory knowledge

Internal controls

Communication skills

Jobbeschreibung

Join us as a Thematic Risk Oversight - AVP professional, responsible for providing data-led oversight, challenge, and guidance to ensure the organisation operates in compliance with Barclays’ legal, regulatory, and ethical obligations. The role focuses on identifying, assessing, and mitigating compliance risks, supporting effective governance, and promoting a strong culture of compliance across the organisation.

The role holder will provide independent oversight and check and challenge across business activities, helping to identify emerging compliance risks, investigate risk events and breaches, and ensure appropriate corrective actions are implemented. They will work closely with business stakeholders, Compliance, Legal, Risk, and other control functions to strengthen the firm's compliance framework and risk management practices.

To be successful as a Thematic Risk Oversight - AVP, you should have:

• Strong understanding of Compliance and Risk Management frameworks.
• Experience in identifying, assessing, and monitoring compliance risks across business activities and processes.
• Ability to conduct investigations into compliance breaches, risk events, and regulatory concerns.
• Understanding of market abuse risks, including insider dealing, unlawful disclosure, market manipulation, and anti-competitive conduct.
• Strong analytical skills with the ability to interpret complex data and identify emerging risk themes.
• Excellent attention to detail and a structured approach to risk assessment and issue management.
• Ability to provide effective challenge while maintaining strong stakeholder relationships.
• Strong communication and influencing skills, both verbal and written.

Some other highly valued skills may include:

• Knowledge of regulatory requirements and compliance obligations within the banking industry.
• Experience working with First Line of Defence (1LOD), Legal, Risk, and Control Functions.
• Understanding of financial crime risks, including money laundering and terrorist financing.
• Ability to perform thematic reviews and identify control gaps.
• Experience working with data analytics to support compliance monitoring and oversight activities.
• Strong stakeholder engagement and relationship management skills.
• Ability to manage multiple priorities in a fast-paced environment.
• High levels of integrity, accountability, and professional judgement.
• Curious mindset with a proactive approach to identifying and mitigating risk.
  

Critical Skills Statement

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

• Identify and assess compliance risks through thematic reviews, monitoring activities, process assessments, and business change initiatives.
• Investigate potential market abuse concerns, including insider dealing, unlawful disclosure, market manipulation, and anti-competitive conduct.
• Conduct investigations into compliance breaches and risk events, ensuring appropriate remediation and preventative measures are implemented.
• Provide effective oversight, challenge, and governance to strengthen the control environment.
• Support the implementation and ongoing enhancement of compliance policies and procedures.
• Collaborate with business, Legal, Risk, and Compliance stakeholders to ensure a coordinated approach to risk management.
• Identify, investigate, and oversee potential financial crime risks, including money laundering and terrorist financing concerns.
• Analyse internal and external data to identify emerging themes, trends, and areas of elevated risk.
• Influence stakeholders and support decision-making through effective risk-based recommendations.
• Contribute to enhancing compliance monitoring, governance, and risk management frameworks across the organisation.
  

This role is based in Pune.

Purpose of the role

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a 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 to.
• Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
• Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
• Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

Assistant Vice President Expectations

• To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions.
• Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function. Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes
• 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 lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.
• Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
• Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.
• Take ownership for managing risk and strengthening controls in relation to the work done.
• Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.
• Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.
• Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.
• Influence or convince stakeholders 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.