Ib And Research Business Oversight Compliance

Brightonparkbank

Pune, India
Compliance risk assessment and reviews
Market abuse investigation
Financial crime investigation
Provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in compliance with Barclays legal, regulatory and ethical responsibilities

Job Summary

  • Provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in compliance with Barclays legal, regulatory and ethical responsibilities.
  • Identify and investigate potential market abuse, financial crime, and compliance risk events or breaches, and oversee corrective actions.
  • Collaborate with 1LOD, other relevant Compliance teams, legal, and risk management functions to facilitate a comprehensive approach to compliance and risk management.

Matching Summary

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

Skills & Requirements

Must-have

  • Compliance risk assessment and reviews
  • Market abuse investigation
  • Financial crime investigation
  • Policy interpretation and application
  • Stakeholder engagement across business divisions
  • Data analysis for problem solving

Nice-to-have

  • Leadership behaviours
  • Strategic project involvement
  • Creative problem solving
  • Influencing senior stakeholders
  • Adaptation to new technical concepts

Key Requirements

  • Understanding of Investment Banking, Global Banking and Research activities
  • Experience with Transaction Banking
  • Experience with marketing material reviews
  • Experience with Verification Checks (VCs)
  • Experience with surveillance reviews
  • Experience with horizon scanning
  • Experience with issue escalation
  • Degree or equivalent qualification

Work Rights

Not specified

Tailored Resume

Cover Letter