Compliance Assurance Conduct AVP

Singapore, Singapore
Aug 14, 2022
Aug 28, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Compliance Assurance Conduct AVP


As a Barclays Compliance Assurance Conduct AVP, this is an opportunity to join the Compliance Assurance Conduct team, an independent testing function within Compliance designed to assess potential conduct and reputational risks through the performance of business and thematic Conduct reviews. The Compliance Assurance Conduct team is primarily responsible in the firm for providing assurance on the effectiveness of conduct and reputational risk management through the review of relevant firm controls, culture and behaviors.

Barclays is one of the world's largest and most respected financial institutions, with 329 years of success, quality and innovation behind us. We offer careers that provide endless opportunity - helping millions of individuals and businesses thrive, and creating financial and digital solutions that the world now takes for granted.

What will you be doing?
  • Design and deliver reviews that provide strong insight and value by identifying risks and issues, or examples of good practice. Clearly articulating root causes, outcomes and consequences to support corrective actions or the further embedding of robust controls and processes at a fundamental level.
  • Adopt Data Analytics to use logic and analytical skills in reviews while providing assurance and identifying issues.
  • Conduct reviews inline with the Compliance Assurance methodology in the execution of reviews (throughout planning, testing, and reporting) and the monitoring and validation of issues and actions. Being accountable for working papers being completed timely and accurately, with clear and concise findings.
  • Conduct assurance activities that identify risk/control/outcome deficiencies of the upmost relevance, providing valuable insights and informed opinions. Propose robust action plans designed to materially and sustainably mitigate the risks identified in the issue.
  • Provide cultural leadership through recognising and valuing differences, e.g. through collaboration across diverse networks.
  • Constantly strive for, and implement, better ways of working to demonstrate increased efficiency and productivity, demonstrate forward planning, utilising less resource(s) by meeting planned timescales or bringing review in ahead of schedule with effective allocation of tasks, utilising reviewers' strengths.
  • Realise efficiencies within the Standard Review lifecycle that both heightens the overall assurance product effectiveness and allows for compression of the end to end lifecycle timeline, without compromising quality of work. Ability to quickly identify resource constraints or spare capacity to manager.
  • Keep up to date on business developments, regulatory change, internal policies and Compliance objectives so that Compliance Assurance work remains relevant, timely and valuable.
  • Aid continual review and development of the annual review plan through assessing the conduct, reputational and regulatory risks of existing business activities and new business initiatives, or changes to internal and external factors that might impact the business in meeting conduct and regulatory expectations. Agreeing review coverage and development of clearly articulated review scope.
What we're looking for:
  • Excellent understanding of Investment Banking business, particularly Markets, preferably with a global Investment bank
  • Solid investigative skills with the capability to identify key risks and areas of non-conformance with regulatory and legislative requirements, lack of controls, etc.
  • Strong stakeholder engagement with proven experience of discussing contentious observations with management and recommending necessary actions
  • Track record of high performance and effective execution, ability to deliver high quality work in a timely and structured manner as part of a team
Skills that will help you in the role:
  • Technical Compliance knowledge and the application of local regulatory or comparable rules and guidance in relation to relevant Barclays' Businesses
  • Good understanding and ability to identify controls and assess its effectiveness
  • Prior experience in Compliance Advisory, Assurance, Front Office Controls Testing or Audit
  • Adaptable and ability to embrace change as team evolves to stay relevant to business model changes and needs
Where will you be working?

Our office is located in Marina Bay Financial Centre, which has been carefully crafted into a "city in a garden". Overlooking the scenic skyline along the Marina Bay waterfront, the green spaces and rooftop terraces have been designed to optimise employee well-being. The centre provides an integrated live-work-play development, surrounded by shops, restaurants, gyms and an alfresco dining area. Our convenient office location means you're just a 5-minute walk from the nearest MRT station.

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