Job Description

Purpose of the role

To manage Legal, Regulatory and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists. 

Accountabilities

• Evaluation of controls related to various banking activities, such advisory services provided in relation to Information Barrier Controls and the flow of MNPI. The critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.
• Monitoring and evaluation of potential risks arising from various business activities, regulatory changes, and internal control requirements.
• Investigation and analysis of reported control breaches, identification of root causes, and determination of the extent of the impact on the bank.
• Implementation of corrective actions to address identified control breaches, prevent recurrence, and strengthen internal control frameworks.
• Maintenance of comprehensive and up-to-date documentation of control room activities, including risk assessments, investigations, and corrective actions.
• Development and implementation of procedures for responding to and managing incidents or potential breaches of information barriers.
• Maintenance of accurate records of Inside Information, Watch List, Restricted list and Wall Crossings to ensure internal controls and risk management processes are effective.

Vice President Expectations

• To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures..
• If managing a team, they define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements..
• If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others..
• OR for an individual contributor, they will be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment.
• Manage and mitigate risks through assessment, in support of the control and governance agenda.
• Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does.
• Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies.
• Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.
• Adopt and include the outcomes of extensive research in problem solving processes.
• Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills to achieve outcomes.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge