Business Oversight Compliance Specialist (Macro and Credit) - AVP

Job Description

Purpose of the role

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. 

Accountabilities

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
• Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
• Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
• Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

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 Barclays as a Business Oversight Compliance Specialist AVP (Macro and Credit), supporting the Fixed Income and Currencies (FIC) businesses within Markets. The role focuses on providing independent, data-led compliance oversight, effective review, and constructive challenge across business and compliance matters. The successful candidate will help identify, assess, and manage compliance risks while supporting a strong and effective control environment. This includes providing appropriate guidance and oversight to help ensure that business activities are conducted in accordance with Barclays’ legal, regulatory, and ethical responsibilities. FIC Business Oversight Compliance forms part of the Markets Compliance team and works collaboratively with business and control functions to promote effective risk management, sound governance, and consistent compliance standards.

To be successful as a Business Oversight Compliance Specialist - AVP (Macro and Credit), you should be able to : 

• Provide effective oversight of the FIC business and support FIC Compliance activities in Hong Kong.
• Assist the Director of FIC Compliance in providing timely guidance and oversight on business activities, regulatory requirements and compliance risks.
• Assist the Director of FIC Compliance with NAPA oversight and effective management of the associated pipeline.
• Support the delivery of the APAC Markets Compliance Plan, with particular emphasis on Verification Checks, compliance-related training, and MI production.
• Collaborate effectively with business stakeholders and key functional areas, including CCO and Legal, to identify, assess, and manage compliance risks.

Essential Skills:

• Relevant compliance or regulatory experience within the financial services industry, supporting Macro and/or Credit businesses.
• Experience providing timely compliance or regulatory guidance.
• Effective written and verbal communication skills. Chinese language capability is required to support interactions with stakeholders in the Greater China region.

You may be assessed on key critical skills relevant for success in the role, such as risk and controls, change and transformation, business acumen, strategic thinking, as well as job-specific technical skills.

Barclays is required by law to confirm that you have the Legal Right to Work in any role that you apply for. If you currently hold a work visa sponsored by Barclays, or you would require sponsorship from Barclays, you must declare this as part of your application. Sponsored visas are role and entity specific, and any changes must be reviewed. It is important that you ensure you are working on the correct visa at all times. Failure to accurately disclose your visa status or Legal Right to Work may result in your application or any employment offer being withdrawn at any time.