Chief Control Officer - SOX - Financial Services

Key Accountabilities

Control Environment -

- Develop and maintain Overall Control Framework (Operations and SOx)

- Ensure all Controls Testing related requirements are complied with.

- Manage activities like RCA Refresh, Testing of Controls (SOx-OR - Manual, Automated Business Controls, General Computer Controls), Change Control, Risk Events, and OPUS etc.

- Review reports and MI being produced for Control Committees, CIRF (Cluster Issue Review Forum), Governance Forums, other Issues MI and weekly planners to drive Risk and Governance activities, etc.

- Drive a culture of Risk and Governance in Finance Governance and Controls, Noida through Risk Campaign, and other activities.

- Institutionalise a culture of continuous improvement in risk management across all processes and sub processes within Finance Governance and Controls, Noida.

- Run the Risk Management and Control agenda for Finance Governance and Controls, Noida to identify the key business process risks, determine the design and operational effectiveness of all the controls and drive remedial actions.

- Provide expertise on RCSA Policy, SOx Methodology and Operational Risk Framework.

- Conducting RCA workshops and walkthroughs.

- Identify Risks and Controls and develop an appropriate audit approach.

- Review and analyse Planners and MI for SOx and OR issues to identify trends and control themes.

- Influencing / convincing the Senior Management / stakeholders to agree to the issues.

- Present the summary of analysis of issues along with Root Cause Analysis to Senior Management and provide recommendations.

- Perform post incident reviews to identify root causes, ensure necessary remedial action is implemented and ensure learning points are shared across functions.

- Review the risks during transition of new processes to Barclays Finance Noida (for completeness of RCAs, plans to mitigate any open SOx/OR/BIA issues, etc.)

- Perform all pre and post audit activities for BIA and External audits.

- Identify and implement opportunities to rationalise the Risks and Controls without compromising on the Control Environment and Barclays Risk Appetite.

- Deliver awareness/education/training sessions providing support to Process Owners/Control Owners and staff of BUs supported by Chief Controls Office Team Noida on control related matters on ad hoc basis.

- Champion a culture of customer service and continuous improvement within Barclays Finance Noida. Ensure that opportunities for controls, process and service improvements are encouraged.

- Execute the strategy around rigorous Control Environment across all the processes served by Barclays Finance Noida that in sync with the Group vision of Efficiency.