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Regulatory Compliance Office BA4

Pune, India

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Date live: 11/12/2024

Business Area: Compliance

Area of Expertise: Compliance

Contract: Permanent

Reference Code: 90389738

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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 "Regulatory Compliance Office " 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.

To be successful as a [Regulatory Compliance Office], you should have experience with

1 Stakeholder Management

2 Decision Making & Problem Solving

3 Strong Communication Skills

Some other highly valued skills may include

1 Good experience in governance & controls

2 Good understanding of compliance & Framework

3 Experience in Compliance or Control function Environment

Person Specification

Experience operating in Barclays or another financial services firm in an Office type role and/ or in Compliance or another control function (e.,g. BIA, CCO, Legal, HR).

Understanding and experience of good governance and controls.

Understanding of (or ability to understand) and operate within the Compliance Risk Framework.

Ability to operate with a continuous improvement mindset, identifying opportunities for enhancements.

Desirable skills:

Professional qualifications, certifications and/or registrations relevant to

Compliance.

Experience in a chief of staff/ office/ Compliance or other control function environment.

Experience of producing accurate reporting MI.

You may be assessed on the key critical skills relevant for success in role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills

[Location- 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.

Analyst Expectations

  • Will have an impact on the work of related teams within the area.
  • Partner with other functions and business areas.
  • Takes responsibility for end results of a team’s operational processing and activities.
  • Escalate breaches of policies / procedure appropriately.
  • Take responsibility for embedding new policies/ procedures adopted due to risk mitigation.
  • Advise and influence decision making within own area of expertise.
  • Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct.
  • Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function.
  • Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
  • Make evaluative judgements based on the analysis of factual information, paying attention to detail.
  • Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents.
  • Guide and persuade team members and communicate complex / sensitive information.
  • Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.

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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