BOC - BBPLC - Banking

Job Title:

Head of Investment Banking Compliance, APAC

Corporate Grade:

D

Reports to (Line Manager's Job Title):

Head of Private-Side and Research Compliance, APAC

Direct Reports (if applicable):

3

Business Area:

Barclays International

Department/Function Level 1:

Functions

Department/Function Level 2:

Compliance

Primary Location:

Hong Kong

IAR Role

No

CBI Regulated Role

No

CBI Regulated Role Type

List all applicable Controlled Functions and Pre-Approval Controlled Functions [CFs: 1-11, and PCFs: 1-47] please see appendix 1 and 2 for the full listing.

N/A

Regulated Role

No

If yes, what is the name of the regulator

N/A

Contractual Legal Entity - Please refer to link below for legal and regulatory requirement.

https://confluence.barcapint.com/display/COOSRVCOSM/Strategic+Projects

OTHER (Non UK)

Barclays Overview

Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate and investment bank, all of which are supported by our service company which provides technology, operations and functional services across the Group.

We are an equal opportunity employer and we are opposed to discrimination on any grounds.

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, or 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.

Hybrid Working

BBPLC - All locations

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. Please discuss the detail of the working pattern options for the role with the hiring manager.

About Barclays International

Barclays International (BI) offers products and services designed for our larger corporate, wholesale and international banking clients and business include the Investment Bank, International Cards & Payments, Corporate Banking, Private Banking and Overseas Services.

About Compliance
Compliance at Barclays comprises circa 1300 employees. It oversees all compliance activities across Barclays and all the regions in which we do business. The Compliance Function is responsible for the creation and implementation of appropriate regulatory policies across all business lines, for the provision of related training and advice, the monitoring and review of business activities to measure compliance with relevant policies and procedures, for managing investigations and undertaking activity for the management of Barclays regulators and in line with Barclays values.

-------------- Overall purpose of role

The primary function of this role is to lead the development and provide oversight of the Investment Banking Compliance team in APAC, and work with global and regional colleagues (including Financial Crime colleagues) on conduct or reputational risk matters arising from APAC Investment Banking.

Key Accountabilities

• Lead, manage the APAC Investment Banking Compliance team to execute on Barclays Strategy and Compliance Plans, including:

• Provide a high standard of conduct and reputational risk check and challenge to the APAC Investment Banking business. Provide timely, clear and technically sound advice, check and challenge where necessary, demonstrate prudence and sound judgement and report and escalate conduct and reputational risks in a clear and timely manner
• Represent or supervise Compliance representation at new product NAPA discussions, evaluating new products and services intended to be provided by the businesses for conduct and reputational risk concerns and check and challenge proposed controls
• Attend Transaction Review Committees to represent Compliance views and present any conduct and reputational risk concerns to ensure due consideration
• Contribute to the development of relevant policies and standards
• Understanding of industry and regulatory trends with respect to conduct risk management and advise on application to the businesses
• Complete Compliance Risk Assessments for relevant business desks, determining review plans, supervision of reviews and working closely with three lines of defence to review and recommend best practices to the businesses manage potential conduct and reputational risk as first line of defence
• Provision of Compliance training to the businesses and other functions where we have subject matter expertise
• Develop best-in-class team with due consideration of our digital future

• Strategic support to Head of Private-Side Compliance APAC in driving strategic initiatives of broader APAC Compliance, Private Side Compliance APAC as well as Global Investment Banking Compliance

Stakeholder Management and Leadership

The role holder should maintain effective relationships and deal openly with all key stakeholders, in line with the Barclays Purpose, Values and Mindset, taking into account the needs of all stakeholders and taking decisions which, in the long term, are positive for clients, shareholders, colleagues and the communities in which the Bank operates.

• Key stakeholders within the businesses: senior management within APAC Investment Banking
• Key stakeholders within Compliance: APAC Compliance Management, Global Head of Investment Banking Compliance, APAC Head of Research Compliance and APAC Head of Control room
• Interpersonal skills:

• Ability to communicate Compliance decisions to senior stakeholders in the business in a succinct and calm manner and the confidence to uphold those decisions, when necessary
• Comfortable working in a global team with a matrix management structure with multiple reporting obligations
• Ability to manage interpersonal conflict and possess strong influencing skills

• Leadership capabilities:

• Ability to develop others
• Enabling high performance
• Building strong relationships
• Build self-insight (create open culture where understanding own drivers, strengths and development areas is actively encouraged and valued)
• Working collaboratively
• Ability to make critical decisions
• Driving continuous improvement and innovation
• Define talent development and succession plans

in accordance with Barclays Values and Mindset

Decision-making and Problem Solving

Possess management authority to make significant and complex business and strategic decisions that impact the function and the businesses in which the function supports, across APAC jurisdictions.

Risk and Control Objective

Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards.

Person Specification

• Demonstrated experience leading a regional investment banking compliance function, at a top tier organization
• Sound and demonstrable knowledge of:
  • the products and services offered by an investment bank and specifically the investment banking division (e.g. M&A, Capital Markets)
  • cross border risks, conduct risk and reputational risks related to the Investment Banking business
• Highly organised with strong analytical skills, a good eye for detail, excellent verbal and written communication skills and proven ability to negotiate and influence
• Good management and leadership skills, relationship builder and strong collaborator who is reliable and accountable
• Independent ability to check and challenge with good commercial awareness and business judgement
• Resilient to change, ability to deal with conflict and adaptable

Essential Skills/Basic Qualifications:

• Educated to University degree or equivalent
• Extensive investment banking Compliance experience
• Excellent management skills including people, resource management and problem solving
• Ability to manage multiple stakeholders

Desirable skills/Preferred Qualifications:

• Knowledge and understanding of compliance frameworks and risk management
• Ability to work effectively with global and regional Compliance colleagues
• Good use of Microsoft products e.g. Excel, PowerPoint would be an advantage
• Conflicts management process within an investment banking and corporate banking business

Purpose, Values and Mindset

We deploy finance responsibly to support people and businesses, acting with empathy and integrity, championing innovation and sustainability, for the common good and the long term.

Our values underpin everything we do: Respect, Integrity, Service, Excellence and Stewardship.

Respect

We harness the power of diversity and inclusion in our business, trust those we work with, and value everyone's contribution.

Integrity

We operate with honesty, transparency and fairness in all we do.

Service

We act with empathy and humility, putting the people and businesses we serve at the centre of what we do.

Excellence

We champion innovation, and use our energy, expertise and resources to make a positive difference.

Stewardship

We prize sustainability, and are passionate about leaving things better than we found them.

Our Mindset shapes how we take action, living by our Values, driven by our Purpose, always with our customers and clients at the heart of what we do; our Mindset is to Empower, Challenge and Drive.

Empower

Trust and support each other to deliver. Make decisions with those closest to the topic. Include diverse perspectives. Celebrate success and learn from failure.

Challenge

Question whether things can be done better. Use insights based on data to inform decisions. Be curious about how we can adapt and improve. Speak up and be open to alternative viewpoints.

Drive

Focus on outcomes. Deliver with pace. Be passionate and ambitious about what we do. Take personal responsibility. Actively build collaborative relationships to get things done.