BA4 - Research Risk & Controls

Join us as a “ Research Risk & Controls " at Barclays, where you'll spearhead the evolution of our digital landscape, driving innovation and excellence. The candidate is expected to work in a high intensity, results oriented role within the Risk & Controls team based in Mumbai, which is an extension of the Global Research Business Management Team. The Risk & Control team in Mumbai operates controls and processes to cover key risks for the Research department, including but not limited to: Information Barriers, Cross-Border controls, Management of Conflicts of Interest, Personal Account Dealing, Headcount Management, Research Event(Conference)Controls, RCSAtesting, InternalAudit and Issues and Actions.

You may be assessed on the key critical skills relevant for success in role, such as :

The candidate is expected to work in a high intensity, results oriented role within the Risk & Controls team based in Mumbai, which is an extension of the Global Research Business Management Team. The Risk & Control team in Mumbai operates controls and processes to cover key risks for the Research department, including but not limited to: Information Barriers, Cross-Border controls, Management of Conflicts of Interest, Personal Account Dealing, Headcount Management, Research Event (Conference) Controls, RCSA testing, Internal Audit and Issues and Actions.This role will specifically focus on undertaking External Speaker Vetting and Company Conflicts checks for events such as roadshows, conferences, field trips, industry/expert events, etc. organized by or for Research. The role will involve operating a high-volume process with quick turnaround, which may require taking subjective calls from time-to-time and where attention to detail is key.The candidate will also hold dual-responsibilities in the team towards other processes such as Personal Account Dealing, Cross- Border, Information Barrier, and RCSA testing. The candidate will spend most of their time operating daily, weekly, monthly, and quarterly control tasks.

The role requires interaction with the wider Research Business Management Team Globally, Research Compliance, Research Production and Operations, and may require connecting with stakeholders outside of Research such as Anti-Bribery and Corruption, Government Relations, Barclays Compliance etc.

To be successful as a “Research Risk & Controls “, you should have experience with:

Basic/ Essential Qualifications:

• Developing an in-depth understanding of all Research Event Control processes, their risks, and the controls designed to mitigate them.
• Timely and accurate completion of all External Speaker Vetting and Company Conflict checks, in accordance with set procedures and business standards.
• Ability to multi-task, work under pressure and make sound business judgments.
• Assist team members with their tasks and responsibilities, and work on ad-hoc projects as and when they come up.
• Ensure existing controls adequately mitigate the risks, if not escalate.
• Proactive and timely escalation of issues, where required.

Desirable skillsets/ good to have:

• Excellent accuracy and attention to detail.
• Expertise at MS Office applications like Excel, PowerPoint and Word
• Excellent in formatting tables and data to present visually user-friendly format for the intended audience.
• Strong teamwork and communication skills as the person will be required to operate with teams across the organization, in multiple locations and time zones.
• Ability to carry out detailed tasks with diligence, and within set timelines.
• Self-motivated, identifies opportunities and is proactive in putting forward ideas and solutions.
• Postgraduate/ MBA in Finance experience in product control, strategy, operations, risk and controls or business management roles
• Good knowledge of Investment banking businesses and products.
• General awareness of financial industry regulations would be advantageous.
• Preferred Postgraduate/ MBA in Finance.
• Prior Experience in product control, strategy, operations, risk and controls or business management roles would be advantageous.

This role will be based out of NKP Mumbai.

Purpose of the role

To support Research Analysts in the production and delivery of Research with differentiated market insights and actionable ideas to Barclays Clients.  

Accountabilities

• Compilation and analysis of data to help Analysts develop investment theses for their coverage areas.
• Presentation of Research views to Barclays Clients by helping to prepare materials or responses to client questions.
• Collaboration with the Analyst, Supervisory Analyst, Compliance and other stakeholders to help ensure Research is produced and delivered to Clients and internal stakeholders in a compliant manner.

Analyst Expectations

• To perform prescribed activities in a timely manner and to a high standard consistently driving continuous improvement.
• Requires in-depth technical knowledge and experience in their assigned area of expertise
• Thorough understanding of the underlying principles and concepts within the area of expertise
• They lead and supervise a team, guiding and supporting professional development, allocating work requirements and coordinating team resources.
• 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 develop technical expertise in work area, acting as an advisor where appropriate.
• 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.