Business Oversight Compliance Specialist - Operations & Functions

Business Oversight Compliance activities for Barclays Europe (BE) focus on monitoring compliance with relevant Laws, Rules and Regulations (LRR) across COO & Functions, in line with the Compliance operating model. Key activities include supporting the provision of compliance advice, effective compliance challenge and proactive compliance risk management across BE Operations and Functions. This AVP role plays a supporting role within a busy team, contributing to projects and initiatives through attendance at committees and project meetings and supporting the delivery of core BOC activities. These include participation in oversight and governance forums, compliance breach and issue management, compliance risk escalations, compliance‑themed reviews, supporting compliance risk assessments, and contribution to the team’s annual planning and prioritisation. The role supports ongoing EU regulatory implementation and change, assisting with the coordination of Compliance input across technical regulatory areas such as Outsourcing, DORA, and Trade and Transaction Reporting (including EMIR, SFTR, MiFIR and MMSR). Responsibilities also include updating internal Compliance policies and procedures, tracking and logging Compliance actions and deliverables, and taking responsibility for regular activities within the team, such as supporting outsourcing reviews. The role will coordinate and support Compliance training. Strong stakeholder management skills are required to support effective collaboration with Operations, Technology, Risk, Finance and Group Compliance colleagues. Prior Compliance experience and/or qualification is preferred. A willingness to undertake a recognised formal compliance qualification (e.g. LCI) is an advantage. 

To be successful as an AVP Business Oversight Compliance Specialist - Operations & Functions, the ideal candidate must have:

• Previous Compliance experience and/or qualification is preferred

• A willingness to undertake a recognised formal compliance qualification (e.g. LCI) is an advantage

• Strong stakeholder management skills to support effective collaboration with Operations, Technology, Risk, Finance and Group Compliance colleagues

This role can be based in Dublin and Paris with 3 anchor days in the office.

You may be assessed on 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.

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.

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.