Head of Employee Compliance

Job Description Summary

Lead the Global Employee Compliance team and manage exceptions, provide oversight & advice and mitigate Employee Compliance risks.  Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls.   

Job Description

Purpose of the role

The Head of Employee Compliance leads the Global Employee Compliance function, providing strategic oversight, expert advisory, and governance across all facets of employee conduct risk. The role is accountable for driving a strong culture of integrity and ethical behaviour across the organisation by setting conduct expectations, managing regulatory and policy adherence, and ensuring effective controls to mitigate behavioural and regulatory risks. This includes leading exception management, strengthening the surveillance and monitoring ecosystem, and partnering with senior leadership to embed conduct into business decision‑making. The role also stewards the design and delivery of targeted training, communication, and risk‑awareness programmes to elevate employee accountability and reinforce a culture where integrity, transparency, and compliance are consistently demonstrate

Accountabilities

• Champion an enterprise-wide Conduct Culture by setting the strategic direction for employee conduct policies aligned to global regulatory expectations, Barclays Conduct Framework, and the bank’s risk appetite—ensuring conduct is embedded into daily decision‑making and leadership behaviours.
• Drive a data‑led conduct oversight model through the design and implementation of advanced surveillance, monitoring, and behavioural analytics systems that proactively identify emerging risks, insider threats, and cultural red flags.
• Shape the conduct competency of the organisation by developing future-focused training, awareness journeys, and leadership-led engagement programmes that elevate conduct, ethics, and regulatory accountability across all levels.
• Provide end‑to‑end governance of key Conduct Risk programmes—including Conduct Rules, Mandatory Block Leave, and Personal Investments & Affiliations—ensuring timely remediation, strong controls, and holistic oversight of employee behaviour risks.
• Strengthen the organisation’s conduct control environment by designing and embedding robust, preventative, and detective controls aligned to evolving regulations, regulatory expectations, and industry best practices.
• Serve as the enterprise adviser on employee conduct matters, influencing senior leadership through expert guidance on behavioural risk trends, thematic issues, and regulatory developments, while partnering closely with Compliance, HR, Legal, and business leaders to ensure consistent conduct outcomes.
• Lead the Employee Compliance transformation to simply process and drive automation for efficient and effective Employee Compliance framework.

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.

Director Expectations

• To manage a business function, providing significant input to function wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide..
• They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
• Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
• Escalates breaches of policies / procedure appropriately.
• Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
• Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
• Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
• Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
• Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
• Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
• Negotiate with and influence stakeholders at a senior level both internally and externally.
• Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
• Mandated as a spokesperson for the function and business division.

All Senior 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.

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.