VP Audit - Compliance (AML)

  • Negotiable
  • Manhattan, NY, USA Manhattan NY US
  • Permanent, Full time
  • Barclays - US
  • 12 Jul 18 2018-07-12

Work collaboratively with others in BIA to develop strong independent client relationships, to be a respected voice. You are responsible for delivery of audits/assignments to a high standard in line with audit methodology and to support delivery of the BIA Audit Plan. The responsibilities will include audits of the relevant frameworks, policies, standards, and processes over Compliance, Financial Crime, HR and Legal functions.

Overall purpose of role

Work collaboratively with others in BIA to develop strong independent client relationships, to be a respected voice. You are responsible for delivery of audits/assignments to a high standard in line with audit methodology and to support delivery of the BIA Audit Plan. The responsibilities will include audits of the relevant frameworks, policies, standards, and processes over Compliance, Financial Crime, HR and Legal functions.

Key Accountabilities

  • Collaborate and support the Director to define the appropriate coverage strategy and audit plan for Compliance, Financial Crime, Legal and HR functions, taking into consideration the Audit Risk Appetite, the current and expected business environment, the regulatory requirements and the resourcing levels within the Function
  • Manage audit work to ensure that relevant risks and controls have been identified and appropriately assessed.
  • Review and complete processes and documentation of scoping, risk & control identification, control evaluation and observations in BIA audit toolkit.
  • Write high quality observations and audit reports (with input from the audit team).
  • Manage audit teams on a day to day basis, working to ensure that audits progress as planned, as regards scope, budget and timetable.
  • Continue to update awareness of risk issues and changes across relevant business units and use this knowledge to update audit approach where necessary.
  • Provide complete, accurate and timely information for BIA reporting.
  • Proactively take on additional tasks as requested by the BIA Director/Managing Director.

Stakeholder Management and Leadership

  • Lead discussions with clients regarding audit observations, consulting with the Director where necessary.
  • Build independent and respected relationships with clients on each audit and develop on-going relationships with key clients in aligned business area.
  • Develop a wide network of contacts across BIA and the business to identify and work towards strategic goals.
  • Own and drive personal learning to support achievement of career aspirations.
  • Engage and motivate others to develop their skills/knowledge/experience to contribute to the success of BIA.
  • Celebrate the success of self and others and take pride in achievements.
  • Provide constructive feedback and evaluation to team members for audit assignments and support Directors in their assessment of Assistant Vice Presidents (AVPs)
  • Act as mentor and coach to less experienced team members and support others to develop. Provide guidance to AVPs during audit assignments.
  • Contribute to the attraction of the best people through their role in the recruitment process.
  • Create an environment to encourage knowledge sharing, asking questions and sharing viewpoints with BIA colleagues.
  • Ensure the inclusion of all colleagues, regardless of background or circumstances.

Decision-making and Problem Solving

  • Take into account reputation of Barclays at all times, through positive interactions and following policy and process.
  • Sets an example and supports fair and ethical behaviour in all colleagues.
  • Make sure colleagues are equipped to be able to protect our reputation at all times.
  • Challenge others where appropriate, if you believe self to be correct.
  • Makes decisions on a broad range of factors, with Barclays values at heart.

Person Specification

Essential Skills/Basic Qualifications:

  • Bachelors Degree
  • 6+ years experience of auditing in Financial Services

Desirable skills/Preferred Qualifications:

  • Experience of auditing Global Fin Crime Regulations, inc KYC, AML, Sanctions
  • Practical understanding of relevant regulatory environment
  • Experience of managing audits/driving initiatives in a relevant field
  • Proven track record of high performance in previous roles to include senior client management
  • Experience in risk based auditing or risk/control activities
  • Ability to lead and develop teams including strong project management and coaching skills
  • Strong written and verbal communication skills
  • Good presentation skills
  • Ability to motivate teams and influence stakeholders