Compliance Officer London, England
Job description
Compliance Officer
London
As a Barclays Compliance Officer, you will have an exciting chance to support the Chief Compliance Officer for Barclays UK through delivery of the Barclays UK Compliance plan. You will focus on the Wealth Management & Investments (WM&I) business and on compliance with regulatory requirements relating to trading and investment operations, including Client Assets (CASS), Market Abuse, Transaction Reporting and Best Execution.
Barclays is one of the world’s largest and most respected financial institutions, with 329 years of success, quality and innovation behind us. We offer careers that provide endless opportunity – helping millions of individuals and businesses thrive, and creating financial and digital solutions that the world now takes for granted.
Working Flexibly
We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognises and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees, globally to work flexibly empowers each of us to work in a way that suits our lives as well as enabling us to better service our customers’ and clients’ needs. Whether you have family commitments or you’re a carer whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life. If you would like some flexibility, then please discuss this with the hiring manager, and your request will be reviewed subject to business needs.
We are currently in the early stages of implementing a hybrid working environment, which means that many colleagues spend part of their working hours at home and part in the office, depending on the nature of the role they are in. We’re flexible on how this works and it may continue to change and evolve. Depending on your team, typically this means that colleagues spend a minimum of between 20% to 60% of their time in the office, which could be over a week, a month or a quarter. However, some colleagues may choose to spend more time in the office over a typical period than their role type requires. We also have a flexible working process where, subject to business needs, all colleagues globally are able to request work patterns to reflect their personal circumstances. Please discuss the detail of the working pattern options for the role with the hiring manager.
• Providing oversight of the Wealth Management & Investment (WM&I) business’s management of conduct risk
- Providing day-to-day Compliance advice across the WM&I business areas, related to conduct risk and regulatory requirements
- Identifying, managing and escalating conduct risks or potential risks to management
- Influencing business processes and decisions to ensure good customer outcomes and adherence to regulatory requirements
- Taking ownership for project related activity to help business or regulatory change
- Demonstrating ownership for risks/issues, ensuring they are logged and tracked to conclusion by the first line of defence, escalating to senior management where appropriate
- Performing targeted assurance reviews and assisting with completion of other thematic reviews where required
- Working closely with Compliance Assurance team to assist in identifying scope for review and supporting our Compliance Risk Assessment outcomes
• Knowledge of the role of Compliance, its activities and knowledge of regulatory requirements, principles, rules and guidance in relation to investment business etc
- Understanding of management reporting and governance requirements in a regulated financial services organisation
- Execution skills – ability to proactively set deadlines for the business and monitor progress, escalating if required
- Drafting and communication skills – excellent verbal and written communication skills required
• Investment’s expertise, the successful role-holder would preferably have knowledge of investment products and services, as well as related processes and controls
- Problem solving skills, critical thinking, problem solving, future proofing and risk-based decision making
- Educated to degree level and/or equivalent professional experience
Where will you be working?
In the heart of Canary Wharf, our headquarters at Churchill Place boasts onsite amenities such as; a gym, staff restaurant and deli bar, and is easily accessible by tube and bus links. With a population of around 5000 staff the atmosphere is second to none with a real buzz being created around the offices within.
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