Laws, Rules, and Regulations Oversight Specialist – VP

Join us as a Laws, Rules, and Regulations Oversight Specialist – VP on our Investment Risk Oversight team, where you will lead efforts to define and manage the approach to LRR Risk across the organization. In this role, you will provide expert oversight, offer data-led challenge, and ensure compliance with applicable laws and regulatory standards. You’ll serve as a key subject matter expert, working closely with stakeholders to enhance risk governance and deliver critical insights. This is a strategic position that will expand to cover additional areas as the team evolves.

To be successful as a Laws, Rules, and Regulations Oversight Specialist – VP, you should have experience with below:

• Experience in legal, risk, compliance, or regulatory oversight roles within financial services

• Communication skills and ability to engage stakeholders and senior leadership

• Expertise in evaluating, testing, and providing oversight on LRR matters

Highly valued skills:

• Prior experience managing control functions and navigating regulatory change

• Bachelor’s or Master’s degree preferred

• Ability to work independently and adapt in a fast-paced, evolving environment

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

This role is located in New York.

Minimum Salary: $145,000

Maximum Salary: $200,000

The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any other type of compensation or benefits that may be available.

Purpose of the role

To define the approach for managing Laws, Rules and Regulations (LRR) Risk across the organisation and provide data-led expert oversight and check and challenge on LRR Risk Management, to support adherence with applicable Laws, Rules and Regulations.  

Accountabilities

• Definition and maintenance of the framework for managing LRR Risk, including the LRR Risk Management Policy and Standard.
• Collaboration with teams across the organisation to facilitate a comprehensive approach to LRR Risk management.
• Provision of SME guidance on the end-to-end process for managing LRR Risk, including responding to colleague queries.
• Collaboration with stakeholders to assess the level of LRR Risk in the organisation and ensure appropriate steps are in place to identify and support the remediation of potential LRR non-adherence.
• Provision of oversight, checking and challenging on the implementation of LRR Risk Management Control Requirements and Controls, through reviews of relevant team processes, activities, reporting and systems.
• Review and investigation of LRR Risk related escalations, risk events and issues, providing corrective actions and preventative measures to avoid future occurrences.
• Operation of key Compliance processes to support the implementation of LRR Risk Management.

Vice President Expectations

• To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures..
• If managing a team, they define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements..
• 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 be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment.
• Manage and mitigate risks through assessment, in support of the control and governance agenda.
• Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does.
• Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies.
• Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.
• Adopt and include the outcomes of extensive research in problem solving processes.
• Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills 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.