Compliance Assurance Manager

Vor 2 Tagen

Schweiz Barclays Vollzeit

About Compliance
Compliance at Barclays is located across 3 continents and employs approximately 1300 employees. It oversees all compliance activities across all the Barclays legal entities. Compliance’s mission is to be the most respected Compliance Function in the world, and we are part way through a 3-year strategy to build on the strong foundations we have established to support and deliver a function which is valued for its independent and influential voice, and which provides confidence through the integration of its risk management services. We have a culture of innovation and are at the forefront of driving change across the business and the Compliance Function.

About Compliance Assurance
Compliance Assurance is a regional team, responsible for the execution of independent, risk based Conduct reviews. The team supports Barclays’ Compliance strategy by examining the bank’s defences against risks, offering insightful analysis, and providing expert advice.

In particular, performs assurance over the Conduct and Reputation Principal Risks across Barclays’ first and second lines of defence. Conduct reviews rigorously assess whether the required outcomes are being achieved through effective controls, culture, and behaviours.

Overall purpose of role

Supporting Compliance in achieving its mission, purpose, and objectives by providing an assurance capability to meet the demands of a world class Compliance function. The main responsibility of assurance professionals will be for executing assurance reviews and/or issue validation (where applicable) to assess and report on Conduct and/or Reputational Risk Management, behaviours, and attitudes. Ensuring Compliance with applicable Regulatory, Legislative, and Compliance Policy and Standard requirements, across all the Barclays legal entities. The role holder will be responsible for enhancing the Compliance Culture within the organisation in a manner consistent with the Barclays’ company purpose, values, and mind-set.

Key Accountabilities
- Design, support and deliver reviews that provide strong insight and value by identifying risks and issues, or examples of good practice. Clearly articulating root causes, outcomes, and consequences to support corrective actions or the further embedding of robust controls and processes at a fundamental level.
- Adopt Data Analytics to use logic and analytical skills in reviews while providing assurance and identifying issues.
- Assist Review Leads to ensure timely delivery of assurance reviews, ensuring adherence to the Compliance Assurance methodology in the execution of planning, testing, and reporting in addition to the monitoring and validation of issues and actions.
- Be proactive in managing the review to meet the planned timescale, resolving or escalating issues and blockers that materially impact the progress of reviews. Ensuring timely escalation to senior Compliance Assurance managers.
- Realise efficiencies within the Standard Review lifecycle that both heightens the overall assurance product effectiveness and allows for compression of the end-to-end lifecycle timeline, without compromising quality of work.
- Support cultural leadership skills, through recognising and valuing differences, e.g. through collaboration across diverse networks.
- The ability to clearly articulate the outcome of our reviews regarding the conduct and reputational risk being run across the firm and can interpretate the risks and lack of controls and offer clear remediation solutions.
- Ability to manage multiple tasks in a structured and risk-based manner.
- Take a proactive approach to identifying and agreeing review coverage and develop the scope of reviews.
- Keep up to date on business developments, regulatory change, internal policies, and Compliance objectives so that Compliance Assurance work remains relevant, timely and valuable.
- Aid continual review and development of the annual review plan through assessing the conduct, reputational and regulatory risks of existing business activities and new business initiatives, or changes to internal and external factors that might impact the business in meeting conduct and regulatory expectations.

Stakeholder Management and Leadership

The ability to build, develop and maintain existing relationships between Compliance Assurance and Business Oversight Compliance and Key Stakeholders across Compliance and the business areas. With good influencing and communication skills with the ability to tailor messages to all levels of the business, messages should be clear and concise.

Demonstrate effective Stakeholder Management and Leadership, this will include formal stakeholder engagement and management at all levels of the business, the effective influencing of business decisions and the identification and escalation of issues, blockers, bottlenecks and/or potential showstoppers that materially impact the review progress.

Decision-making and Problem Solving

Understand Conduct Risk an

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