Control & Governance Manager

  • Competitive plus Excellent Benefits
  • London, England, United Kingdom
  • Permanent, Full time
  • Barclays
  • 29 Sep 16

To provide independent oversight to give assurance that Regulatory compliance activities are being carried out in accordance with regulatory and legal standards and in line with Barclays' own standards and policies; including Conflicts of Interest, Financial Crime activities: Anti Bribery and Corruption, Anti-Money Laundering, Sanctions, KYC.

Control and Governance Manager

To provide independent oversight to give assurance that Regulatory compliance activities are being carried out in accordance with regulatory and legal standards and in line with Barclays' own standards and policies; including Conflicts of Interest, Financial Crime activities: Anti Bribery and Corruption, Anti-Money Laundering, Sanctions, KYC.
The role holder will conduct reviews and monitoring of the GI&S Training and Competency Scheme, ensuring that reviews are completed and exceptions are reported, escalated and resolved on a timely basis.

About us:
Our mission is to set a new standard in wealth management by understanding our clients better than anyone else. In pursuit of this objective, we hire and develop only the best people in the industry. We look for talented, tenacious individuals who seek opportunities for self-improvement and career progression. Our long-term agenda can only be achieved through close collaboration and a shared sense of respect, integrity and excellence.

As a Control & Governance Manager, your main responsibilities will involve:
* Managing the GI&S Conflicts of Interest process
* In conjunction with Operations and the Business Areas, coordinate Financial Crime activities: Anti Bribery and Corruption, Anti-Money Laundering, Sanctions, KYC
* In conjunction with UKPB for T&C:
* Providing support to Supervisors and employees within the GI&S scheme
* Advising FCA Registrations team to register/ certify and deregister/ decertify individuals
* Escalation point for supervisors to report any breaches and recording and reporting to Compliance where appropriate
* Reviewing completed training plans and providing sign off of employee's competence
* Performing sample checks of the semi-annual 'Maintaining Competency Reviews' conducted by Supervisors on all employees within the T&C scheme
* Performing sample checks of individuals Worksmart records to ensure the system is being used correctly by both individuals and supervisors
* Maintenance of Worksmart to include all employees performing a controlled function

As a Control & Governance Manager, your skills and qualifications will include:
* Strong knowledge of regulatory framework; e.g. Training & Competence, Conflicts of Interest, Gifts and Entertainment, Financial Crime
* A broad understanding of the regulatory environment and awareness of regulatory impact and changes
* Experience in investment management, asset management and/or compliance and risk management
* Extensive experience gained within financial services in investment, compliance or risk management roles
* Excellent awareness of regulatory impact and changes
* Strong numerical and analytical skills
* Strong communication skills both written and verbal
* Ability to operate with a high degree of independence, managing a large number of competing priorities and directly facing off to stakeholders, including senior management without daily management oversight
* Ability to effectively manage stakeholders and build relationships across different business areas, geographical regions and levels of seniority

The Benefits:
Our customers deserve the best. The same goes for our people. That's why at Barclays you'll receive a range of benefits including a competitive salary, flexible hours and all the tools, technology and support to help you become the very best you can be.

Our Culture
All we do is shaped by the five values of Respect, Integrity, Service, Excellence and Stewardship. The values inform the foundations of our relationships with customers and clients, but they also shape how we measure and reward the performance of our employees. Simply put, success is not just about what you achieve, but about how you achieve it.
Dynamic working gives everyone at Barclays the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager.

Diversity:
At Barclays, we recruit based on merit and are committed to promoting diversity throughout our organisation.

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We encourage applicants to apply as early as possible in the recruitment period. Barclays recruitment periods can and may vary. We reserve the right to remove this advert during the recruitment process.