IB and Research Business Oversight Compliance

Join us as an "IB and Research Business Oversight Compliance" 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 Transaction Banking, as well as job-specific skillsets. 

To be successful as an "IB and Research Business Oversight Compliance", you should have experience with:

Basic/ Essential Qualifications:

• Understanding of Investment Banking, Global Banking and Research activities, including deal lifecycle, research independence, and client interactions
• Ability to contextualise compliance support across capital markets, products, and transaction cycles
• Applies product knowledge to verification checks, marketing material reviews, and governance support
• Evidenced through responsibilities covering marketing material reviews, deal support, research interaction boundaries, and transaction‑cycle aligned coverage.
• Ability to interpret and apply policies, standards and procedures to real business scenarios
• Experience supporting Verification Checks (VCs), surveillance reviews, horizon scanning, and issue escalation
• Strong judgment in identifying conduct, conflicts, MNPI and information‑barrier risks
• Explicitly reflected in responsibilities for VC execution, horizon scanning, surveillance reviews, governance MI and escalation frameworks.
• Ability to deliver clear, fair, not misleading commentary to stakeholders
• Strong written communication for MI, governance decks, training material, and senior‑forum updates
• Confidence engaging with stakeholders across Global Banking, ICB and Research, within defined control boundaries
• Evidenced through ownership of governance reporting, training decks, marketing material reviews, and stakeholder engagement forums

Desirable skillsets/ good to have:

• Comprehensive knowledge of investment banking /Research rules and regulations
• Proven ability to excel in fast-paced, time-sensitive environments
• Strong written and verbal communication skills
• Confident, assertive, and investigative approach
• Degree or equivalent qualification
• Exceptional writing and presentation abilities, with skill in simplifying complex or sensitive material for executive audiences
• Extensive governance and reporting experience, including information flow management, process oversight, and risk assessment
• Independent thinker capable of professionally influencing and challenging senior stakeholders, managing conflicts and complex issues while aligning with business objectives
• Highly motivated, eager to learn, and creative with an interest in strategic projects
• Advanced proficiency in Word, PowerPoint, and Excel
• Strong understanding of the financial sector and quick adaptation to new technical concepts
• Significant experience in developing and executing strategic initiatives
• Background in compliance, conduct, and reputation risk management, including implementation of relevant controls
• Demonstrated success in leading change and improvement programs.

This role will be based out of Pune.

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.