Compliance Assurance Specialist

Purpose of the role

To provide assurance over the effectiveness of Compliance Risk Management across the bank. 

Accountabilities

• Development and refresh of the Compliance Assurance Annual Plan, ensuring that the Annual Plan focuses on areas of highest risk and value in relation to Compliance Risk.
• Delivery of risk-based assurance activity to validate the effectiveness of controls and processes designed to mitigate Compliance Risk.
• Identification of potential risks associated with non-compliance or control weaknesses in relation to Compliance Risk.
• Verbal and written communication of Compliance Assurance reports and issues to enhance the effectiveness of Compliance Risk management and oversight.
• Build, development and maintenance of effective relationships between Compliance Assurance and stakeholders across the three lines of defence.
• Proactive adoption of Data Analytics capabilities to increase the efficiency, effectiveness and coverage of Assurance work.
• Continued focus on the Barclays Mindset and Consistently Excellent to enhance the Assurance that we deliver, how it is delivered and the culture within the bank.

Assistant Vice President Expectations

• To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions.
• 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, appraisal of performance relative to objectives and determination of reward outcomes
• 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 lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.
• Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
• Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.
• Take ownership for managing risk and strengthening controls in relation to the work done.
• Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.
• Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.
• Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.
• Influence or convince stakeholders 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 and Drive – the operating manual for how we behave.

Join Barclays as a Compliance Assurance Specialist - AVP. At Barclays, our vision is clear –to redefine the future of banking and help craft innovative solutions. In this role, you will contribute meaningfully to the delivery of clear and objective assurance across a range of important business areas. Your work will involve carefully reviewing and evaluating the effectiveness of risk management practices, internal control structures, and governance frameworks, with a focus on supporting compliance with both external regulatory expectations and internal policies. Success in this position will be supported by your attention to detail, thoughtful approach to problem-solving, and ability to adapt to evolving priorities. You will collaborate with colleagues across various teams, building positive relationships and fostering open communication.

To be successful as a Compliance Assurance Specialist - AVP, you should have:

• An understanding of risk and control frameworks within financial services

• Experience in audit, compliance, or risk assurance, ideally within a global banking environment

• Ability to handle multiple priorities in a fast-paced environment

• Previous work with regulators a plus

Some other highly valued skills may include:

• Testing background - devise a testing strategy and finding out what the controls are and execute the strategy, audit background

• Critical thinking and investigation skills

• Excellent communication and report writing skills

• Understanding of Barclays’ products, services, and market context, especially in corporate or investment banking

You may be assessed on the key critical skills relevant for success in this role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills.

This role is located in New York, NY.

Minimum Salary: $110,000

Maximum Salary: $135,000

The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any other type of compensation or benefits that may be available.