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M&T tests the supervisory, administrative and operational controls associated with policies and procedures and independently assesses and reports on areas of potential reputational or regulatory risks. M&T conducts desk reviews, branch/office reviews and thematic reviews. Plan for and manage the execution of compliance reviews according to the established review schedule and in accordance with the established review procedures
* Supporting the development of an annual schedule of reviews based on inputs such as the outcomes of the annual Compliance Risk Assessment, discussions with Product Compliance, MI from previous reviews and own view of risks.
* Identifying the scope and testing approach for reviews, including articulating sampling and test methods
* Leading compliance reviews to include the following aspects:
o Validating compliance against established policies and procedures and applicable rule, standards and regulations.
o Identifying and articulating risks and required outcomes
o Developing recommendations for corrective action based on review findings.
o Working with Compliance officers and business management to gain recognition of findings and to agree appropriate corrective action plans.
o Writing high quality reports presenting review results, articulating the rationale for findings, the risks posed and actions required to address those risks.
o Developing tools and insights to support review findings and feed into interviews and workshops.
o Following-up on action plans to verify that corrective action has been effectively implemented.
o Meeting standards for delivering or supporting the delivery of high quality value added compliance risk reviews including the identification and articulation of risk themes
* Develop a broad knowledge of the Bank's business and the regulatory framework in which it operates.
* Developing relationships with compliance officers and business management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Bank.
* Tracking action closure and liaising with all the relevant stakeholders.
* Manage and be accountable for multiple project streams of delivery.
* Lead and collaborate with developers in the team.
* Engage with stakeholders, partner with other development team's/infrastructure teams as required.
* Manage junior analytics resource and up-skill where necessary
* Knowledge of UK and/or European regulatory rules and regulations and their practical application.
* Understanding of core Barclays International (BI) business lines and products such as Markets, Investment Banking, Corporate Banking and PB&OS
* Ability to critically analyse data including the identification of trends, themes and unusual outliers.
* Ability to identify discrepancies whilst managing, reviewing and gathering data.
* Proficient in Microsoft excel and use of excel functions (Macros, Pivots, etc)
* A strong focus on technical delivery
* A proactive approach to problem solving with a knack for uncovering elegant solutions.
* Interested in helping move the team forward regarding automated testing.
Desirable (but not essential) skills
* Be "tech savvy" interested by the opportunities technology provides for quality, efficiency or accuracy.
Academic and professional qualifications
* Bachelors Degree
* Compliance experience, regulatory experience or operational risk management/audit experience, ideally with investment banking experience.
Internal Number: 6506904
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