Employee Conduct AVP

Job Description

Purpose of the role

To investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks.   Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls.   

Accountabilities

• Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices.
• Implementation of surveillance and monitoring systems to track and report on employee behaviour.
• Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.
• Completion of task and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards.
• Development and implementation of controls related to employee conduct that aligns with regulatory requirements and Barclays’ risk appetite and industry best practices.
• Provision of advice and assistance across Barclays on matters that relating to employee conduct.

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.

Join us as an Employee Conduct AVP at Barclays, where you'll spearhead the evolution of our Third-Party Risk & Controls landscape, driving innovation and excellence. You'll play a critical to investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks.   Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls.  

You may be assessed on the key critical skills relevant for success in role, such as experience with Employee Conduct, as well as job-specific skillsets

To be successful as an Employee Conduct AVP, you should have experience with:

•Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices.

•Implementation of surveillance and monitoring systems to track and report on employee behavior.

•Development of training program to educate employees on conduct expectations, ethical standards, and regulatory obligations.

•Completion of task and exceptions from the following areas Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards.

•Development and implementation of controls related to employee conduct that aligns with regulatory requirements and Barclays’ risk appetite and industry best practices.

•Provision of advice and assistance across Barclays on matters that relating to employee conduct.

Basic/ Essential Qualifications:

•Basic Knowledge of Employee Compliance areas (including but not limited to Personal Account Dealing, Outside Business Interests, Gifts and Entertainment, Registrations and Breach Management)

•Understand risk management and controls

•Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities.

•Ability to interpret and analyze complex regulatory concepts and translate into simple summaries for employees and business

•Excellent communications skills and ability to engage with stakeholders in a productive and meaningful manner.

Desirable skillsets/ good to have:

•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 organization 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 practices (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.

•Experience in Certification and Registrations Licensing experience will be an additional advantage.

•Experience in Breach Management (Violations) experience will be an additional advantage.

This role will be based out of Pune.