Compliance Assurance Monitoring and Testing VP

Compliance Assurance Monitoring and Testing Vice President
New York, NY

As a Barclays Compliance Assurance Monitoring and Testing Vice President (VP), you will be responsible for supporting Compliance in achieving its mission, purpose, and objectives with an assurance capability to meet the demands of a Compliance function. You will be responsible for managing and executing assurance reviews and/or issue validation to assess and report on Conduct and/or Reputational Risk Management, behaviors, and attitudes. Ensuring Compliance with applicable Regulatory, Legislative, and Compliance Policy requirements, across Barclays legal entities. 

Salary/ Rate Minimum: $145,000
Salary/ Rate Maximum: $192,000

The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any another type of compensation or benefits that may be available.

Barclays is one of the world's largest and most respected financial institutions, established in 1690, with a legacy of success, quality, and innovation. We've helped millions of individuals and businesses thrive, creating financial and digital solutions that the world now takes for granted. An important and growing presence in the USA, we offer careers providing endless opportunity.

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.

What will you be doing?

•    Being responsible for designing and delivering reviews that provide wide insight and value by identifying risks and issues or examples of good practice
•    Articulating root causes, outcomes, and consequences to support corrective actions or the further embedding of robust controls and processes at a fundamental level
•    Adopting Data Analytics to use logic and analytical skills in reviews while providing assurance and identifying issues
•    Managing reviews to ensure you and your review team adhere to the Compliance Assurance methodology in the execution of reviews (throughout planning, testing, and reporting)
•    Monitoring and validating of issues and actions and being fully accountable for working papers being completed timely and accurately, with clear and concise findings
•    Managing assurance activities that identify risk/control/outcome deficiencies of the upmost relevance, providing valuable insights and informed opinions 
•    Preparing robust action plans designed to materially and sustainably mitigate the risks identified in the issue
•    Providing cultural leadership through recognizing and valuing differences and supporting staff with effective coaching and identifying development areas

What we’re looking for:

•    Investigative skills to identify key risks and areas of non-conformance with regulatory and legislative requirements and lack of controls, identify root cases, themes and trends 
•    Experience of discussing contentious observations with management and recommending necessary actions and prior experience with managing teams 
•    Report writing skills and analytical skills/mind with ability to deliver high quality work in a timely and structured manner
•    Shares knowledge across the wider Compliance Assurance function fostering best practice and owning/driving personal learning and development to support achievement of career

Skills that will help you in the role:

•    Professional qualifications in Compliance
•    Technical knowledge of SWAPs and Security-based SWAPs and the application of CFTC and SEC regulations and guidance in relation to relevant Barclays’ Businesses
•    Management capability- representing the Compliance Assurance function/Director in Senior Fora; Working Groups; collaborating across the 3 Lines of Defense testing plans and activities 
•    Working knowledge or prior experience of working with an Automated Assurance team to increase the use of data driven testing and data analytics within reviews 

Where will you be working?

You will be working at our Americas Headquarters at 745 Seventh Avenue. This 32-story office tower is located in Times Square in the heart of Manhattan and features a cafeteria, fitness center and state-of-the-art LED signage on the facade of the building.

#LI-Hybrid

USD 145000 to 192000