Governance and Control Manager - Quality Assurance Assistant Vice President

Job Description

Purpose of the role

To provide support to the Chief Risk Officer(S) in the implementation and ongoing effectiveness of the bank's risk management framework across various business units and functions.

Accountabilities

• Implementation support of risk management policies, standards, procedures, and controls across the bank.
• Asessment and promotion of risk management awareness and risk controls and culture.
• Review, challenge and monitoring of the effectiveness of existing risk management practices and identifying areas for improvement.
• Identification of new and emerging risks, and assessing the likelihood and impact of identified risks, and recommending appropriate mitigation strategies.
• Management and operation of associated committees, forum and meetings.
• Maintenance of risk inventories and governance documentation.

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 a "Governance and Control Manager – Quality Assurance AVP" at Barclays, where you'll spearhead the evolution of our digital landscape, driving innovation and excellence. You'll harness cutting-edge technology to revolutionise our digital offerings, ensuring unapparelled customer experiences.

You may be assessed on the key critical skills relevant for success in role, such as experience with Governance and Control Manager – Quality Assurance AVP, as well as job-specific skillsets.

To be successful as a "Governance and Control Manager – Quality Assurance AVP", you should have experience with:

Overall purpose of role:

A member of the Governance & Controls team responsible for completion of Quality Assurance (post-processing completeness checks) on a variety of CDD & EDD-based financial crime prevention activity across the CIB Financial Crime Execution (FCE) Team.  This includes working pragmatically with colleagues across the team to:

• Proactively identify, evaluate and support implementation of enhancements to the controls framework that will further optimise the balance between efficiency and control.

• Support the effective resolution of identified risk and rigour deficiencies across all portfolios, ensuring timely escalation where required.

• Drive risk awareness and “Right First Time” performance pertaining to all activities across FCE

• Maintain and enhance a robust quality assurance testing framework.

• Support completion of ORACs (Issues) and / or support Audits as required.

Key Accountabilities:

Stakeholder Management and Leadership:

• Effective and clear communication via e-mails, telephone and in meetings with key stakeholders at all levels across Corporate Coverage, FCE, Financial Crime (2nd Line of Defence), Audit (3rd Line of defence), KYC Operations, and Project / Change teams.

Decision-making and Problem Solving:

• Analytical and methodological approach to assessments & complex problem solving.

• Ability to identify and appropriately escalate issues and risks and consider solutions.

• Ability to use own initiative to consider streamlining of the controls process.

Risk and Control Objective:

Take ownership for managing risk and strengthening controls in relation to the work you do.

Person Specification:

• Exceptional attention to detail and precise, especially in recording assurance outcomes.

• Highly organised, with ability to manage several high-priority tasks simultaneously.

• A can do attitude and willingness to accept, and truly own, challenges & responsibilities.

• Ability to think and act as part of an independent, but partnered team, with an emphasis on collaboration at all times and effective coordination across different activities.

Essential Skills/Basic Qualifications:

• Previous experience of Quality Control / Assurance.

• Strong knowledge of Financial Crime, KYC / CDD / EDD and AML control requirements, tools and practices.

• Ability to exercise pragmatism within the boundaries of pre-determined policies & procedures.

• Strong Document management skills.

Desirable skills/Preferred Qualifications:

• An understanding of Financial Crime Exits & Politically Exposed Persons (PEPs).

• A good understanding of the Corporate Banking business and the various Client types.

• Good grasp of Microsoft Excel.

• Relevant AML/CTF or ABC qualifications i.e. ICA or ACAMs.

This role will be based out of Gurugram.