Smart Investor Banking Compliance Advisor - AVP (Perm )
- Recruiter
- Barclays Capital
- Location
- North Lanarkshire
- Salary
- Competitive
- Posted
- 01 Jan 2019
- Closes
- 25 Jan 2019
- Sectors
- Banking & Financial Services
- Contract Type
- Permanent
- Hours
- Full Time
Barclays is a transatlantic consumer, corporate and investment bank offering products and services across personal, corporate and investment banking, credit cards andwealth management, with a strong presence in our two home markets of the UK and the US. Our goal is to become the bank of choice by providing superior services to customers and clients and supporting our stakeholders via a commercially successful business that generates long-term sustainable returns. The Smart Investor Compliance advisory teams help build towards sustainable success by instilling confidence as an independent function. Advisory teams play an important role in ensuring Barclays remembers how we do business is as important as how much business we do. The key roles of advisory are to: help set the tone and culture expected by internal and external stakeholders by embedding the control and conduct framework; advise, check and challenge business strategy development and execution through business engagement in governance forums and continued monitoring and testing to confirm adherence to policy and regulatory requirements; advise on and bring technical expertise to the interpretation of policy and regulatory requirements; advise on incident and issue management; advise and guide the businesses in conduct risk management; and bring an understanding of internal and external stakeholder regulatory requirements and expectations to central Compliance teams. Your Role * Proactively review and enhance compliance processes and procedures and develop innovative ways to improve the service provided by Compliance. * Keep up to date on all regulatory related issues across a range of topics. * Be aware of changes to the Smart Investor businesses plan to ensure appropriate support is provided. * Interpret key regulatory rules, guidance and proposed regulatory changes in relation to Barclays products and services, in particular to support the Smart Investor. * Provide oversight and guidance on complex/high profile issues to ensure good customer outcomes. * Ensure all issues identified are appropriately logged, tracked and, for medium and high risk issues, are only closed when acceptable evidence has been supplied to justify closure. * Provide timely and relevant reports as required both internally within the Compliance department and externally within the wider group. * Build and manage relationships and with key stakeholders by providing advice support and solutions on a broad range of regulatory issues * Relevant experience in a UK or International Private Banking or Digital institution with ideally some front office experience and an excellent understanding of UK regulatory requirements (COBs, conflicts interest, PA Dealing, best execution, market abuse etc.). * Good understanding of global regulatory environments and global company standards. * Apply this knowledge to the practical situations faced together with an in-depth knowledge of financial products (both banking and investment), sales and relationship management and key operational processes relating to a sales channel. * Demonstrate an understanding of the need to balance commercial and regulatory risk when dealing with a large sales force in a fast moving environment. Desirable Skills * Background in financial services regulation * Degree level education (or equivalent) * Good communication skills, All Barclays colleagues have to ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards.