Description
We are seeking an Employee Breach & Conduct Rules professional to support the Head of Employee Breach & Conduct Rules in delivering activities aligned to the Compliance Investigations & Insights strategic book of work.
The role involves investigating employee conduct exceptions, providing oversight and advice, and mitigating compliance risks. You will help maintain a culture of employee integrity and compliance within the organisation through the delivery of appropriate training and execution of controls.
Key responsibilities include:
- Developing and implementing policies related to employee conduct that align with regulatory requirements and industry best practices
- Implementing surveillance and monitoring systems to track and report on employee behaviour
- Developing training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations
- Completing tasks and exceptions from various areas, including Breach Management & Reward, Global Registrations, Conduct Rules, Mandatory Block Leave, and Personal Investments & Affiliations
- Providing advice and assistance across Barclays on matters relating to employee conduct
As an Assistant Vice President, you will be expected to:
- Advise and influence decision-making, contribute to policy development, and take responsibility for operational effectiveness
- 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, appraise performance relative to objectives, and determine reward outcomes
The ideal candidate will have:
- Understanding of the Conduct Risk Framework
- Ability to multitask and manage projects while completing daily tasks and responsibilities
- Execution mindset and understanding of the role compliance plays in Employee Conduct
- Attention to detail, strong analytical skills, and a diligent approach to understanding and confirming facts
- Strong interpersonal and stakeholder management skills
Some other highly valued skills may include:
- Ability to engage, organise, and support stakeholder meetings
- Ability to manage multiple tasks simultaneously with accuracy and professionalism
- Sound judgement, strong communication, influencing, and interpersonal skills
- Curious mindset, ability to work accurately and at pace with team members and stakeholders
Critical skills for success in this role include:
- Assessing sensitive conduct cases and escalation decisions
- Interpreting behavioural trends and providing recommendations to reduce conduct risk and enhance the conduct culture
- Supporting consistency in the application of conduct standards across the organisation
- Managing and influencing a range of stakeholders