Breach Management - Employee Breach & Conduct Rules

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 Breach & Conduct Rules professional, responsible for supporting the Head of Employee Breach & Conduct Rules in delivering activities aligned to the Compliance Investigations & Insights strategic book of work.

The Team acts as the firm's centre of excellence for employee conduct risk, providing expert advice, behavioural insights, and strategic guidance on employee conduct matters. The team supports Control Functions and business leaders in interpreting, escalating, and remediating conduct issues, and drives continuous improvement in the firm's conduct culture.

The role holder will provide delivery, oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in compliance with Barclays legal, regulatory and ethical responsibilities.

To be successful as an Employee Breach & Conduct Rules professional, you should have:

• Understanding of the Conduct Risk Framework.
• Ability to multitask and manage projects while completing daily tasks and responsibilities.
• Must have an execution mindset and an understanding of the role compliance plays in Employee Conduct.
• Attention to detail, strong analytical skills and a diligent approach to understanding and confirming facts.
• Ability to consistently demonstrate sound judgement and confident, risk-based decision making.
• Strong interpersonal and stakeholder management skills, being able to communicate confidently and effectively with colleagues and stakeholders at all levels, both verbally and in writing.
  

Some other highly valued skills may include:

• Ability to engage, organise, and support stakeholder meetings in order to establish and influence outcomes.
• Ability to manage multiple tasks simultaneously with accuracy and professionalism, in a fast paced environment.
• Sound judgement together with strong communication, influencing and interpersonal skills to work with and support others effectively, driving behavioural change.
• Curious mindset, ability to work accurately and at pace with team members and stakeholders.
• Confident and excellent communication skills.
• Strong influencer.
• Reliable, dependable, accountable.
• Strong Team Player.
• Ambitious, intelligent and hard working individual.
  

Critical Skills Statement

You may be assessed on the key critical skills relevant for success in role, such as:

• Assess sensitive conduct cases and escalation decisions, ensuring proportionality and consistency in behavioural assessments.
• Interpret behavioural trends and provide recommendations to reduce conduct risk and enhance the conduct culture.
• Support consistency in the application of conduct standards across the organisation by providing subject matter expertise to Policy Reinforcers, Employee Relations, and other stakeholders.
• Manage and influence a range of stakeholders.
• Work closely with cross function Operational Leads to support in activities such as the documentation of process and procedures, optimisation and data Governance.
• Support the transformation of Global Breach Management along with the existing Conduct Rules framework to achieve the right outcomes.
  

This role is based in Pune.