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Compliance Assurance - Issues Management

Pune, India

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Date live: 01/24/2025

Business Area: Compliance

Area of Expertise: Compliance

Contract: Permanent

Reference Code: JR-0000031212

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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 a Compliance Assurance - Issues Management at Barclays, where you'll spearhead the evolution of our digital landscape, driving innovation and excellence. You'll harness cutting-edge technology to revolutionize our digital offerings, ensuring unapparelled customer experiences.

You may be assessed on the key critical skills relevant for success in role, such as experience with Assurance, as well as job-specific skillsets.

To be successful as Compliance Assurance - Issues Management, you should have experience with:

  • Assessing the validity and accuracy of Conduct Risk, including Financial Crime, issues and associated action plans (incl. DWBs, Lessons Learned, Risk Events and other exceptions) raised to support the Compliance Standards delegates in approving relevant Conduct Risk issues prior to issue publication, changes or milestone conversion.

  • Conducting Issue Closure Validation review to confirm that the evidence provided by the Business is sufficient to confirm validation of the issue through desktop review of the evidence provided in the Issue Closure Pack.

  • Oversight and tracking of Issues submitted for approval to the Assurance Global Services Issues Management Services team.

  • Management and oversight of any other matters within the Compliance Issues Management Inventory (additions, removals, changes and reconciliations) including running and maintaining the operational tracking dashboard.

  • Working with wider Assurance Global Services Issues Management Services team colleagues on the production of Compliance Assurance Management MI, including Compliance Assurance and Issues Management operational effectiveness and risk effectiveness metrics, and a pipeline of issues falling due for the Heads of Compliance Assurance.

 Essential Qualifications:

  • Confident, positive and proactive, with strong organizational skills and resilient personality.

  • Ability to engage and build relationships with senior stakeholders.

  • Ability to make decisions and solve problems with a proven track record of well-considered judgements.

  • Excellent written and verbal communication skills.

 Desirable skillsets:

  • Previous experience in Compliance Assurance/Monitoring & Testing, Controls Testing, Quality Assurance, Investigations or Audit, Issues Management

  • Displays professional skepticism, raising and discussing contentious observations with management; able to adapt style when necessary.

  • Excellent written and verbal communication skills; able to communicate compliance issues in a non-technical way.

  • Graduate

  • Strong Excel and PowerPoint skills

  • Demonstrates well-considered judgments and anticipates emerging risks

  • Project Management skills

  • Desire to improve technical knowledge through self-learning or training including mandatory CPE requirements.

  • Ability to make decisions and solve problems with a proven track record of well-considered judgement.

 This role will be based out of Pune.

Purpose of the role

To provide operating and administrative support to senior leaders, simultaneously shaping and executing long-term strategic change, whilst helping to navigate complex challenges in the performance of their roles

Accountabilities

  • Implementation of Target Operating Model, business development, and financial and non-financial resource allocation, providing strategic insight and thought leadership.
  • Strategic support to and oversight of demand pipeline and the book of work, including assistance in the development and execution of strategic initiatives, projects, research, and analysis to support decision-making.
  • Support to and guidance for operational efficiency and colleague/customer/client experience within the organisation, including the identification of areas for improvement, streamlining of processes, and implementation of best practices to enhance productivity, effectiveness and experience.
  • Management of of people plan, talent development and succession planning including the identification of high-potential employees, provision of mentorship and guidance, and support to leadership development and diversity initiatives.
  • Communication with internal and external stakeholders, management of communication channels and ensuring effective coordination across different departments and teams.
  • Participation in compliance activities such as SMR and other regulatory registrations/certifications, as well as support for crisis management and risk mitigation, including the development of contingency plans, coordination of responses to emergencies, and business continuity.
  • Management of all organisational/team requirements relating to technology, real estate, people and communications in conjunction with relevant partners across the firm.
  • Enablement of oversight of risk management and compliance with internal and external requirements, including internal Governance on critical control activities in partnership with the CCO team, such as Records Inventory and RCSAs.
  • Cost control and workforce management of the Business/Function, including involvement in financial analysis and planning, forecasting, and monitoring of financial performance against targets.

Assistant Vice President Expectations

  • 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.

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