Employee Compliance Analyst

Join us as an Employee Compliance Analyst at Barclays, where you'll spearhead the evolution of our digital landscape, driving innovation and excellence. You'll harness cutting-edge technology to revolutionise 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 thematic oversight team, as well as job-specific skillsets.

To be successful as an Employee Compliance Analyst, you should have experience with:

• Ability to be a team player in a fast-paced environment. 

• Self-starter with the ability to meet or exceed expectations, meet deadlines, prioritize work, multi-task and maintain flexibility in fast-paced, high volume and changing environment

• Reliable, dependable, and accountable

• Implementation of surveillance and monitoring systems to track and report on employee behavior.

• Completion of task and exceptions from the following areas Conduct Rules, Mandatory Block Leave and Personal Account Dealing to ensure oversight of relevant Employee Conduct policy and standards.

• Provision of advice and assistance across Barclays on matters that relating to employee conduct.

Basic/ Essential Qualifications:

• Basic Knowledge of Employee Compliance areas (including but not limited to Personal Account Dealing, Outside Business Interests, Gifts and Entertainment, Registrations and Breach Management)

• Understand risk management and controls

• Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities.

• Ability to interpret and analyze complex regulatory concepts and translate into simple summaries for employees and business

• Excellent communications skills and ability to engage with stakeholders in a productive and meaningful manner

Desirable skillsets/ good to have:

• Provide coverage on Employee Compliance activities such as clearance of requests and exceptions, undertaking quality assurance including issuing breaches in line with specific team procedures.

• Respond to colleague queries on their obligations and requirements and be ready to respond/assist within our Group-Wide Policy and Standards relating to Employee Compliance

• Understand, explain, and advise on Employee Compliance policy requirements to employees as required

• Maintaining certain information / data points in relevant Barclays systems, databases and other record keeping sources, including conducting quality assurance with respect of data entries made by the team and by others.

• Offer practical solutions and suggestions for process improvement – especially in identifying inefficiencies or weaknesses in current Employee Compliance workflows, controls or procedures.

• Provide practical first line input in support of Technology colleagues, in the delivery of continuous improvement and fixes to our systems and technology platforms.

• Participate in both local and global project initiatives, including assisting Technology on any system rollouts (i.e. design specifications, user requirements and testing)

• Identify risks or issues for escalation to leadership, and pro-actively recommend solutions

• Conduct training of our Group-Wide Policy and Standards relating to Employee Compliance

• Some experience of Compliance is preferable – ideally in Personal Account Dealing, Outside Business Interests, Senior Manager regime, Breach management, Registrations or equivalent.

This role will be based out of Pune.

Purpose of the role

To investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks.   Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls.   

Accountabilities

• Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices.
• Implementation of surveillance and monitoring systems to track and report on employee behaviour.
• Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.
• Completion of task and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards.
• Development and implementation of controls related to employee conduct that aligns with regulatory requirements and Barclays’ risk appetite and industry best practices.
• Provision of advice and assistance across Barclays on matters that relating to employee conduct.

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.