Barclays - AVP - Business Control & Governance

Purpose of Role :

- The role holder will mainly focus on the controls monitoring process including execution of periodic management controls relevant to the Front Office.

- The role holder acts as the primary risk manager and ensures that the business can independently monitor and manage its own exposures and performance without unnecessary intervention from the Central control functions who should act in an oversight and advisory capacity only.

Core Accountabilities :

- The role holder will be responsible for monitoring/execution/follow-up of periodic management controls relevant to the Front Office.

- The role holder will participate in discussions to improve the Front Office Control Framework.

- The role holder will assist in coordinating the Front-Office part of internal and external audits / inspections, obtaining and consolidating information required by auditors / inspectors and the business.

- The role holder will participate in conducting training sessions and maintaining the training register for the front office.

- The role holder will be responsible for production of monthly MI.

- The role holder will also focus on Cross Border guidance and monitoring, Complaints Management and coordinating for other global and/or local projects for control improvements and/or implementation

Supervisory responsibilities :

- Manages self and works with individuals and managers to ensure maximum performance and knowledge continuity

Key clients (internal and external) :

- The role holder will interact regularly with teams of Front Office Bankers / Executives, Legal, Compliance, Client Due Diligence, Client Data Management, GI&S and Auditors

Role requirements :

- Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Barclays Operational Risk Framework and internal Barclays Policies and Standards.

- The ideal candidate should be comfortable to work independently to execute and follow-up on periodic controls on a timely manner.

- The right candidate should be able to engage with the Front Office on issue resolution arising from the reviews conducted and exceptional situations.

- The right candidate needs to be comfortable to engage with other departments like Legal, Compliance, Operations etc independently.

Professional/technical experience :

- The ideal candidate should have practical experience in monitoring/surveillance (gained either through business control monitoring, internal audit, external audit or compliance monitoring).

- The right candidate will have broad experience of the Financial Services and market exposure in private banking.

- The successful candidate needs to have regulatory knowledge and an overall understanding of the business impact of the regulatory environment.

Academic and professional qualifications :

- The right candidate should have a Bachelor's degree and should preferably be a MBA/CA.

Personal attributes :

- The right candidate will have the ability to multitask in order to manage a number of control reviews at the same time.

- The ideal candidate should have excellent interpersonal enabling effective communication, written and oral.

- The right candidate should be willing to learn and embrace challenge in an evolving/changing environment.

- The ideal candidate should have the ability to exert influence and overcome obstacles.

- The right candidate should also be able to rapidly assimilate new information and apply this knowledge as appropriate.