Employee Compliance - Regulatory Authorizations And Permissions

Bankstcharles

Not specified (assumed hybrid)
Employee conduct policies
Surveillance and monitoring systems
Employee conduct training development
Bankstcharles is seeking an Assistant Vice President for Employee Compliance focusing on regulatory authorizations and permissions. The role involves investigating employee conduct, implementing compliance policies, and fostering a culture of integrity within the organization

Job Summary

  • Investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks to help maintain a culture of employee integrity and compliance within the organisation.
  • Develop and implement policies, surveillance systems, and training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.
  • Complete tasks and exceptions from areas including Breach Management, Global Registrations, Conduct Rules, Mandatory Block Leave, and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards.

Matching Summary

Match Score: 85

Bankstcharles is seeking an Assistant Vice President for Employee Compliance focusing on regulatory authorizations and permissions. The role involves investigating employee conduct, implementing compliance policies, and fostering a culture of integrity within the organization.

Skills & Requirements

Must-have

  • Employee conduct policies
  • Surveillance and monitoring systems
  • Employee conduct training development
  • Breach Management & Reward
  • Global Registrations
  • Conduct Rules
  • Mandatory Block Leave
  • Personal Investments & Affiliations

Nice-to-have

  • Develop and implement controls
  • Provide advice and assistance
  • Advise and influence decision making
  • Collaborate closely with other functions
  • Lead a team
  • Barclays Values
  • Barclays Mindset

Key Requirements

  • Assistant Vice President level experience
  • Leadership responsibilities
  • Individual contributor guidance
  • Complex data analysis
  • Communicate complex information
  • Influence or convince stakeholders

Work Rights

Not specified

Tailored Resume

Cover Letter