Compliance Oversight Manager

3 weeks ago

Glasgow, Glasgow City, United Kingdom Barclays Bank UK PLC Full time
Job Overview

Role Objective

The primary aim of this position is to deliver data-driven expert oversight and critical evaluation on business and compliance issues, ensuring that the organization adheres to its legal, regulatory, and ethical obligations.

Key Responsibilities
  • Assess and identify compliance risks through comprehensive evaluations of business operations, modifications, processes, testing, and systems.
  • Investigate potential market misconduct, including but not limited to Insider Trading, Unauthorized Disclosure, Market Manipulation, or Anti-Competitive Behavior.
  • Conduct inquiries into compliance risk incidents or violations, overseeing and challenging corrective actions and preventive measures to avert future issues.
  • Implement compliance policies and procedures in accordance with regulatory standards, ensuring alignment with the bank's internal policies and international requirements.
  • Collaborate with first line of defense (1LOD), other relevant compliance teams, legal departments, and risk management functions to foster a holistic approach to compliance and risk management.
  • Identify, investigate, and oversee potential money laundering, terrorist financing, or other financial crimes.
Expectations for Leadership Role
  • Provide guidance to key stakeholders, including functional leadership teams and senior management, on functional and cross-functional areas of impact and alignment.
  • Manage and mitigate risks through thorough assessments, supporting the control and governance agenda.
  • Exhibit leadership and accountability for managing risks and enhancing controls related to the work of your team.
  • Demonstrate a comprehensive understanding of organizational functions to contribute to the achievement of business objectives.
  • Collaborate with other operational areas to stay informed about business activities and strategies.
  • Develop solutions based on advanced analytical thinking, comparing and selecting complex alternatives. In-depth analysis and interpretative thinking will be essential for problem definition and innovative solution development.
  • Incorporate findings from extensive research into problem-solving processes.
  • Build and maintain trusting relationships and partnerships with internal and external stakeholders to achieve key business objectives, utilizing influencing and negotiation skills to secure desired outcomes.
All employees are expected to embody the Barclays Values of Respect, Integrity, Service, Excellence, and Stewardship, which guide us in making ethical decisions. They are also expected to demonstrate the Barclays Mindset - to Empower, Challenge, and Drive - which serves as our operational framework.

The Pro-active Risk Management team within BBPLC Financial Crime (FC) Business Oversight Compliance (BOC) is tasked with developing and overseeing proactive and forward-looking FC risk strategies across the organization. This includes assessing and embedding FC Threat analysis and conducting in-depth examinations of higher-risk business areas and customer concentrations. The ideal candidate will be an experienced Financial Crime professional with extensive knowledge of FC legislation and industry guidance, possessing a proven track record in an advisory capacity to oversee key controls and provide guidance on FC matters. This experience will be utilized to proactively oversee key control elements, including the identification of new and emerging FC risks and threats, offering targeted FC advice and guidance supported by clear rationale and justification.

Barclays is legally obligated to confirm that you possess the Legal Right to Work in any role for which you apply. If you currently hold a work visa sponsored by Barclays or require sponsorship from Barclays, you must disclose this during your application process. Sponsored visas are specific to roles and entities, and any changes must be reviewed. It is crucial to ensure that you are working under the correct visa at all times. Failure to accurately disclose your visa status or Legal Right to Work may result in the withdrawal of your application or any employment offer.

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