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BBPLC Control Room

Pune, India

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Date live: 11/13/2024

Business Area: Compliance

Area of Expertise: Compliance

Contract: Permanent

Reference Code: JR-0000021622

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Barclays Compliance

Compliance is a broad, multidisciplinary function at Barclays that oversees our global business operations. We ensure the bank lives its values, meets regulatory requirements, and follows our codes of conduct. Compliance helps manage financial affairs safely, prevents crime, and eliminates bad practices, acting as guardians for customers, colleagues, assets, shareholders, and reputation. This vital, challenging, and rewarding role protects customers, defends our reputation, and defines our business practices. Without Compliance, Barclays could not operate.

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Join us as an AVP in the BBPLC Control Room at Barclays, wherein Compliance Control Room manages Legal, Regulatory and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists.  This is accomplished via advisory services provided in relation to Information Barrier Controls and the flow of MNPI.   This includes daily interactions with senior bankers in regard to transactions and ensuring full, detailed regular analysis of the current and future state of private side transactions is undertaken.  The

critical review is the trigger point to instigate downstream controls within

Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.

To be a successful AVP in the BBPLC Control Room team, you should have experience with (Mandatory)

  • Liaising with senior bankers in relation to transactions, assimilating and analyzing relevant information to evaluate risks and requirements for preventative and detective controls such as surveillance and research review to manage the Firm’s Watch and Restricted List.

  • Advising on Information Flows, Information Barriers and Inside Information considerations, acting as a check and challenge function. 

  • Provide guidance and act as a control function in regard to chaperoning requirements as well as vetting the appropriateness of communications and, or calls between the Firm’s Equity research department and Banking department.

  • Applying firm wide restrictions in response to formal transaction announcements and advising on restricted activity in a time sensitive manner to manage legal, regulatory and reputational risk.

  • Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers; keeping accurate and detailed records to ensure the integrity of firm's information barriers are appropriately monitored.

  • Investigating breaches of policy and uphold policy fairly and consistently, liaising with Product Compliance and the relevant supervisors as required to issue policy breach notifications and any actions deemed appropriate.

  • Assisting in drafting updated procedures, guidance or training, and delivering training from time to time.

  • Participating in Control Room projects or regulatory reviews as required, such as technology enhancements, insider lists, procedure updates and assurance reviews requiring Control Room subject matter expertise.

  • Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings to ensure internal controls and risk management processes are effective.

Desirable skills/Preferred Qualifications:

  • Strong understanding of the rules and regulations relating to the Control Room.

  • Able to work in a fast paced, time sensitive environment.

  • Excellent communication skills both written and oral.

  • Assertive and confident manner with an investigative nature

  • Degree or Equivalent

Location : Pune

Purpose of the role

To manage Legal, Regulatory and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists. 

Accountabilities

  • Evaluation of controls related to various banking activities, such advisory services provided in relation to Information Barrier Controls and the flow of MNPI. The critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.
  • Monitoring and evaluation of potential risks arising from various business activities, regulatory changes, and internal control requirements.
  • Investigation and analysis of reported control breaches, identification of root causes, and determination of the extent of the impact on the bank.
  • Implementation of corrective actions to address identified control breaches, prevent recurrence, and strengthen internal control frameworks.
  • Maintenance of comprehensive and up-to-date documentation of control room activities, including risk assessments, investigations, and corrective actions.
  • Development and implementation of procedures for responding to and managing incidents or potential breaches of information barriers.
  • Maintenance of accurate records of Inside Information, Watch List, Restricted list and Wall Crossings to ensure internal controls and risk management processes are effective.

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.

Barclays welcomes applications from all candidates and is committed to ensuring reasonable adjustments (accommodations) are put in place to allow for a fair and inclusive recruitment process. For more information and how to request one, please review Adjustments to the recruitment process.

We’re a global, vital and highly respected financial organisation with an inspiring Purpose. Operating in 39 countries and employing around 100,000 people across the world, we help communities, individuals and businesses thrive. And we’ve created financial solutions and technology that the world now takes for granted. A career with us can offer incredible variety, depth and breadth of experience, and the chance to learn from some of the best minds in technology and finance.

To find out more about Barclays' strategy please click 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.

Barclays is required by law to confirm that you have the Legal Right to Work in any role that you apply for. If you currently hold a work visa sponsored by Barclays, or you would require sponsorship from Barclays, you must declare this as part of your application. Sponsored visas are role and entity specific and any changes must be reviewed. It is important that you ensure you are working on the correct visa at all times. Failure to accurately disclose your visa status or Legal Right to Work may result in your application or any employment offer being withdrawn at any time.

This is Barclays Pune

Barclays Pune is the largest campus outside of Barclays’ global headquarters in London. Our aim is to build game-changing technology that supports businesses and functions across the globe, offering the highest quality service to our clients and customers.

It’s a state-of-the-art technology hub, and home to 9,000 colleagues across Operations, Technology and Functions.

Pune Campus provides opportunities for our colleagues to innovate, collaborate, and deliver great outcomes for customers and clients.

Our welcoming and inclusive culture supports you to bring your whole self to work, explore your potential and pursue your passions.

Pune is a million-square-foot environment-friendly, ultra-modern workplace with excellent facilities for work, socialising and leisure.

This is Barclays Pune

Barclays Pune is the largest campus outside of Barclays’ global headquarters in London. Our aim is to build game-changing technology that supports businesses and functions across the globe, offering the highest quality service to our clients and customers.

An innovative hub

It’s a state-of-the-art technology hub, and home to 9,000 colleagues across Operations, Technology and Functions.

Working better together

Pune Campus provides opportunities for our colleagues to innovate, collaborate, and deliver great outcomes for customers and clients.

A place where you can belong

Our welcoming and inclusive culture supports you to bring your whole self to work, explore your potential and pursue your passions.

An amazing place to work

Pune is a million-square-foot environment-friendly, ultra-modern workplace with excellent facilities for work, socialising and leisure.

Be you. Be valued. Belong.

We celebrate the unique perspectives and experiences each individual brings, believing our differences make us stronger and drive success. Our colleague networks offer connection, support, and growth, while our "This is Me" series shares the unique stories of our colleagues. Committed to diversity, equity, and inclusion, Barclays values you for who you are and ensures you truly belong.

You can learn more about our commitment to our colleague on our DE&I page.  

Learn more

Application Process

Your application

We’ll ask for information about you, your CV and cover letter.

1

Your assessment

Covering your behaviours and ability at work.

2

Your interview

Exploring your past experiences and skills.

3

Next step

We’ll request additional information so that you can complete our screening process

4
How to ApplyRead our FAQ's
Barclays

Working flexibly

We’re committed to providing an inclusive culture and environment, that 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.

Our approach to working flexibly is designed to support you to balance your life and to accommodate diverse needs, whilst still allowing us to meet our business needs. If you’d like to request a flexible working arrangement, please discuss this with your hiring manager.

Hybrid working: Our approach to hybrid working ensures there’s the right balance of working alongside colleagues at our onsite locations, as required for each role. For business areas that offer a hybrid working experience, this will be in a structured way, where colleagues work at an onsite location on fixed, ‘anchor’, days of the week. Some roles may require full onsite working. Please discuss the working pattern requirements for the role you are applying for with the hiring manager.

We continue to embed and review our hybrid working environment and remain in a phase of testing and learning. This means that working arrangements could change, with reasonable notice, to align with the needs of our business.

Barclays is built on an international scale.

Our geographic reach, our wide variety of functions, businesses, roles and locations reflect the rich diversity of our worldwide customer base. All of which means we offer incredible variety, depth and breadth of experience.
And the chance to learn from a globally diverse mix of colleagues, including some of the very best minds in banking, finance, technology and business. Throughout, we’ll encourage you to embrace mobility, exploring every part of our operations as you build your career.

Find more information

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