Vice President Regulatory Authorization and Permissions

Job Description

Purpose of the role

To assist and review regulated entity authorisations applications to oversee that they are valid, complete, and compliant with all applicable policies and procedures.  Investigating and raise unauthorised regulated entity incidents potentially operating outside of its licence. 

Accountabilities

• Identification and assessment of potential risks associated with regulated entity authorisations and implement risk mitigation strategies to safeguard the banks and its customers’ interests.
• Investigation of potential incidents of unauthorised regulated activities and recommending corrective actions and process improvements.
• Provision of training to colleagues on how to request UK entity authorisations.
• Management of the single depositary (Global Entity Authorisations Register) of regulated entities authorisations status and its licences data by reviewing and approving or denying access requests, as well as maintaining accurate records of all authorisations.
• Development and implementation of regulated entity authorisation policies standards and procedures relating to regulated entities business activities and licences.
• Development and implementation of authorisations controls supplementary to Business controls.
• Provide SME advice and assistance across Barclays on matters that relating to UK Authorisations requirements and internal Barclays governance requirements.

Vice President Expectations

• To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures..
• If managing a team, they define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements..
• 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 be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment.
• Manage and mitigate risks through assessment, in support of the control and governance agenda.
• Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does.
• Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies.
• Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.
• Adopt and include the outcomes of extensive research in problem solving processes.
• Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills 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 a "VP- Regulatory Authorization and Permissions" at Barclays, where you'll spearhead the evolution of our digital landscape, driving innovation and excellence. You'll harness cutting-edge technology to revolutionize our digital offerings, ensuring unparalleled customer experiences.
 

To be successful as a "VP- Regulatory Authorization and Permissions", you should have experience with:

The role will lead and oversee the end‑to‑end regulatory Authorization, licensing, cross‑border governance, and oversight framework across various global regulatory jurisdictions. The role is responsible for ensuring the organization maintains a robust license‑to‑operate environment, adheres to global regulatory standards, and implements strong control frameworks within Barclays global legal entities.

The leader will represent as a key person in the governance forums, regulatory interactions, policy and standard refresh cycles, readiness assessments, and oversight of key risk and control activities.

Key Responsibilities:

1. Regulatory Authorizations & Licensing Oversight

• Lead governance of all global licenses, permissions, waivers, exceptions, and registrations.

• Oversee the end‑to‑end lifecycle of authorizations including applications, renewals, variations of permission, cancellations, and regulatory submissions.

• Oversee and manage periodic license attestation and related stakeholder communication

• Ensure accurate global license mapping and data integrity across compliance tools.

• Direct regional workshops to identify gaps in licensing coverage and manage decomposition of new or unidentified permissions.

2. Cross-Border Governance & Controls

• Act as senior compliance lead for all cross‑border working groups (Reach-in, Fly-in/Fly-out, Operating Model Working Groups).

• Oversee alignment of cross‑border controls with program deliverables.

• Review risk assessments for complex cross‑border activity across global jurisdictions.

• Provide expert challenge on country-level regulatory requirements, restrictions, and governance.

3. Policy, Standard & Control Framework Leadership

• Lead annual policy and standard refresh cycles.

• Drive end‑to‑end standards including documentation review, Glossary refresh, Process write-up, control testing, F2B validation, pen testing, and readiness assessments.

• Ensure all controls and RCSA question sets relating to licensing/cross‑border are accurate, updated, and embedded across business units.

4. Governance Forums & Senior Stakeholder Management

• Represent in key governance forums including:

  • License-to-Operate Governance Group Forums

  • Periodic Compliance SteerCo.

  • Cross Border IGF

  • Weekly Controls Working Group

  • Global Governance Forums

  • Legal Entity Booking Model Governance Forums

• Present regulatory updates to global stakeholders and interface with regulators as required.

• Build strong partnerships with Legal, Controls functions, Frameworks team, Business Oversight Compliance, Finance, and Business management.

6. Data Stewardship & Critical Data Governance

• Oversee and manage migration and uplift of complex data sets as a part of automation and system enhancement

• Ensure governance over critical data elements including regulator lists, triggers, mapping, and inventories.

• Maintain SharePoint governance and knowledge repositories.

7. Team Leadership & Operating Model Implementation

• Oversee the implementation of TOM & RACI models across compliance and business units.

• Provide training, upskilling and guidance to compliance team members across regions.

• Manage distribution lists, group mailboxes, and build operational clarity across global teams.

• Support transition planning and knowledge transfer during team changes.

Basic/ Essential Qualifications:

• Extensive experience in regulatory compliance, preferably in licensing, cross‑border governance, and Entity Authorization.

• Deep understanding of global regulatory frameworks in financial service segment.

• Proven ability to lead large governance programs and multi-region regulatory initiatives.

• Strong analytical capability to interpret complex regulatory datasets.

• Exceptional stakeholder management with senior executives and regulators.

• Experience leading policy/standard refresh cycles and control framework implementation.

• Ability to manage high volumes of data with accuracy and strategic insight.

• Strong communication, influence, and leadership skills across matrixed organizations.

Desirable skill sets/ good to have:

• Extensive professional experience in regulatory compliance at VP having exposure to global regulatory activities.

• Professional compliance or regulatory certification desirable.

• Bachelor’s degree in law, Finance, Business, Risk or related field (Master’s preferred).

This role will be based out of Pune.