Employee Compliance - Regulatory Authorizations & Permissions

jobs.barclays

Pune, India
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Employee conduct policy
Regulatory requirements
Surveillance and monitoring systems
** Barclays is seeking an Employee Compliance professional for its Pune, India office to oversee regulatory authorizations and permissions while mitigating compliance risks. The role involves developing policies, implementing training programs, and ensuring adherence to employee conduct standards. **

Job Summary

  • Investigate employee conduct exceptions, provide oversight & advice, and mitigate compliance risks to maintain a culture of employee integrity.
  • Develop and implement policies, surveillance systems, and training programs related to employee conduct, aligning with regulatory requirements and best practices.
  • Complete tasks and exceptions in areas like Breach Management, Global Registrations, Conduct Rules, Mandatory Block Leave, and Personal Investments.

Matching Summary

Match Score: 75

** Barclays is seeking an Employee Compliance professional for its Pune, India office to oversee regulatory authorizations and permissions while mitigating compliance risks. The role involves developing policies, implementing training programs, and ensuring adherence to employee conduct standards. **

Skills & Requirements

Must-have

  • Employee Conduct Policy
  • Regulatory Requirements
  • Surveillance and Monitoring Systems
  • Conduct Rules
  • Risk Appetite
  • Compliance Oversight

Nice-to-have

  • Interpret complex regulatory concepts
  • Engage with stakeholders productively
  • Break down complex tasks
  • Barclays Values and Mindset

Key Requirements

  • Certification, Licensing and registration experience
  • Understand legislation and licensing framework
  • Understanding of regulatory handbooks
  • Knowledge of Risk and compliance controls

Work Rights

Not specified

Tailored Resume

Cover Letter