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Laws & Regulations CAS AVP

Delhi, National Capital Territory of Delhi

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Laws & Regulations CAS AVP

Delhi, National Capital Territory of Delhi

Apply for job

Date live: May. 06, 2024

Business Area: COO & Functions

Area of Expertise: Finance

Reference Code: 90376273

Contract: Permanent

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Job Title: Laws & Regulations CAS AVP
Location: Noida

About Barclays
Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate and investment bank, all of which are supported by our service company which provides technology, operations and functional services across the Group.

Risk and Control Objective
Take ownership for managing risk and strengthening controls in relation to the work you do

Working Flexibly 
We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognises and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees, globally to work flexibly empowers each of us to work in a way that suits our lives as well as enabling us to better service our customers’ and clients’ needs. Whether you have family commitments or you’re a carer, or whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life.  If you would like some flexibility, then please discuss this with the hiring manager, and your request will be reviewed subject to business needs.

Hybrid Working 

Structured hybrid role:    
At Barclays, we offer a hybrid working experience that blends the positives of working alongside colleagues at our onsite locations, together with working from home.  We have a structured approach where colleagues work at an onsite location on fixed, ‘anchor’, days of the week, for a minimum of two days a week or more, as set by the business area (or nearest equivalent if working part-time hours). Please discuss the working pattern requirements for the role you are applying for with the hiring manager. Please note that as we continue to embed our hybrid working environment, we remain in a test and learn phase, which means that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business.


Introduction:

•    Provide controls assurance on processes/controls primarily covering Barclays’ adherence to Laws, Rules and Regulations, across geographies; and other Operational principal risks such as Supplier Risk, Premises etc.
•    Review adequacy of framework established to achieve adherence to Laws, Rules and Regulations and other operational risks
•    Review processes and controls established to achieve adherence to Laws, Rules and Regulations and other operational risks
•    Govern the end to end delivery of the Controls Testing Framework to understand and report on control effectiveness for Barclays.
•    Participate in developing annual controls testing plans.
•    Review activities to remediate control gaps and assess whether the risk has been fully mitigated and whether the implemented controls are sustainable for Barclays.
•    Identify, evaluate, report and escalate risks in line with Barclays risk and control frameworks, utilising relevant tools and analytical techniques.
•    Provide guidance to ensure compliance with relevant Barclays Policies, Standards, frameworks and procedures across Business Units, Functions and Shared Services.
•    Report the results of testing activities to Senior Stakeholders across Business Units, Functions and Shared Services.
•    Influence and support the implementation of the Controls Assurance strategy.
•    Meet the needs of key internal and external risk processes, reporting schedules, stakeholders and regulatory authorities in delivering assurance activities.
•    Develop strong and productive working relationships with local line management and global Controls Assurance team to ensure continuous engagement on key deliverables and project updates are shared on a timely basis.


What will you be doing?

•    Own and deliver Controls Assurance program including sustainability testing with deep understanding of assessment frameworks.
•    The individual would be responsible for planning, executing and providing oversight for delivery of Controls Testing reviews and reporting findings with supervision from Controls Assurance testing teams.
•    Ensuring reviews are managed within the approved scope and budgets on a regular basis.
•    Undertaking appropriate forum reporting and representing controls assurance in relevant forums.
•    Building and developing relationships with key Vertical, Horizontal and all 3 Lines of Defence stakeholders to drive Barclays Control Framework agenda.
•    Review activities undertaken by management to remediate control gaps and provide an opinion as to whether the risk has been fully mitigated and whether the implemented controls are sustainable.
•    Identify and leverage appropriate data sources and analytical techniques to deliver targeted testing.
•    Maintain an independent perspective, challenging as required and setting out quantified control options and risk decision recommendations.
•    Set and proactively manage Stakeholder expectations to promote an understanding and achievement of risk management objectives, ensuring awareness of responsibilities regarding risk and control.


What we’re looking for:
•    Basic Minimum Educational Qualification – Graduate/LLB or equivalent
•    Experience in Legal/Regulatory functions
•    Experience in the application of and methodologies relating to Control Design Effectiveness Assurance and Operating Effectiveness Testing.
•    Strong project & change management, analytical and organisation skills.
•    Experience to consolidate and process information from multiple sources to create meaningful insight and reporting for stakeholders.
•    Proven experience of influencing Stakeholders including briefings and presentations.
•    Analytical approach and proven ability to manage issues through to resolution.
•    Strong interpersonal skills and ability to communicate effectively across a global team.
•    Ability to successfully multitask and complete assignments with varying lead times.
•    Self-starter.

Skills that will help you in the role:

•    Relevant academic/professional certifications (LLB/Post graduate/equivalent related to Laws applicable in banking industry across geographies)
•    Experience in Laws, Rules and Regulations related to Markets risk across US, UK geographies
•    Knowledge of the Financial Services regulatory environment
•    Knowledge of process re-engineering e.g. LEAN / DMAIC / Value Mapping would be beneficial, but is not essential
•    Specialist Risk and/or Control-related qualification – formal accreditation / qualification relating to audit, risk and/or control etc.
•    Experience with data analytics tools and techniques
•    Knowledge of Project Management and Change Management, proven through a relevant professional qualification e.g. Prince2, Project Management Institution would be beneficial, but is not essential.

Where will you be working?
          Noida 

Be More at Barclays
At Barclays, each day is about being more – as a professional, and as a person. ‘Be More @ Barclays’ represents our core promise to all current and future employees. It’s the characteristic that we want to be associated with as an employer, and at the heart of every employee experience. We empower our colleagues to Be More Globally Connected, working on international projects that improve the way millions of customers handle their finances. Be More Inspired by working alongside the most talented people in the industry, and delivering imaginative new solutions that are redefining the future of finance. Be More Impactful by having the opportunity to work on cutting-edge projects, and Be More Valued for who you are.
Interested and want to know more about Barclays? Visit home.barclays/who-we-are/ for more details.

Purpose, Values and Mindset 

We deploy finance responsibly to support people and businesses, acting with empathy and integrity, championing innovation and sustainability, for the common good and the long term.
Our values underpin everything we do: Respect, Integrity, Service, Excellence and Stewardship.

Respect
We harness the power of diversity and inclusion in our business, trust those we work with, and value everyone's contribution.

Integrity
We operate with honesty, transparency and fairness in all we do.

Service
We act with empathy and humility, putting the people and businesses we serve at the centre of what we do.

Excellence
We champion innovation, and use our energy, expertise and resources to make a positive difference.

Stewardship
We prize sustainability, and are passionate about leaving things better than we found them.
Our Mindset shapes how we take action, living by our Values, driven by our Purpose, always with our customers and clients at the heart of what we do; our Mindset is to Empower, Challenge and Drive.

Empower 
Trust and support each other to deliver. Make decisions with those closest to the topic. Include diverse perspectives. Celebrate success and learn from failure.

Challenge
Question whether things can be done better. Use insights based on data to inform decisions. Be curious about how we can adapt and improve. Speak up and be open to alternative viewpoints.

Drive
Focus on outcomes. Deliver with pace. Be passionate and ambitious about what we do. Take personal responsibility. Actively build collaborative relationships to get things done.

More about working at Barclays

We're committed to providing a supportive and simplified experience for our candidates throughout the application and assessment process. Here, you will find information about what to expect and some guidance around your assessment and interview.

While the application process depends on the role, there are some constant steps, which are;

Step 1 - Your application
Step 2 - Your assessment
Step 3 - Your interview
Step 4 - Next steps

We aim to create an inclusive work environment where everyone can reach their full potential. If you require any adjustments to our recruitment process, please click here to learn more.

Find out more information here.

Barclays offers a diverse, inclusive and engaged culture. A place where people can bring their whole selves to work and be respected for who they are, valued for what they do and celebrated for their contribution to our business and our community.

We are an equal opportunity employer and opposed to discrimination on any grounds. It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.

We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognises and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees, globally to work flexibly empowers each of us to work in a way that suits our lives as well as enabling us to better service our customers’ and clients’ needs. Whether you have family commitments or you’re a Carer, or whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life. If you would like some flexibility then please discuss this with the hiring manager.

More content

The Barclays Way

This is the spirit of Barclays. It’s why we exist, what we believe and how we behave. But most importantly, it’s how we make decisions, take action and get things done.

Learn more

Purpose

Working together for a better financial future.

Values

We believe great talent RISES. It acts with Respect, Integrity, Service, Excellence and Stewardship.

Mindset

We discover our full potential through our desire to Empower, Challenge and Drive each other.

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