Job Description

Date live:

06/06/2025

Business Area:

Compliance

Area of Expertise:

Compliance

Contract:

Permanent

Reference Code:

JR-0000052953

Compliance is a broad, multidisciplinary function at Barclays that oversees our global business operations. We ensure the bank lives its values, meets regulatory requirements, and follows our codes of conduct. Compliance helps manage financial affairs safely, prevents crime, and eliminates bad practices, acting as guardians for customers, colleagues, assets, shareholders, and reputation. This vital, challenging, and rewarding role protects customers, defends our reputation, and defines our business practices. Without Compliance, Barclays could not operate.

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Person Specification:

Regulatory and Compliance experience in a global, universal bank.

Experience engaging and influencing Executive Management.

Detailed understanding of the global regulatory framework, Compliance Risk Framework, and underlying Policies and Standards.

Strong understanding and insight into thematic risks and the wider regulatory landscape.

Experience overseeing performance, issues and related risks of services

Experience managing, leading, and developing a high-quality team of Compliance professionals.

Essential Skills/Basic Qualifications:

Compliance professional with comprehensive experience in the industry and of the regulatory environment.

Understanding of financial services across both retail and wholesale banking and ability to demonstrate thought leadership.

Strong partnering, influencing and collaboration with stakeholders and peers.

Strong written and oral communication skills particularly as relates matters of law and regulation and how they apply to business and client matters.

Desirable skills/Preferred Qualifications:

The candidate will ideally have a degree level education and academic track record.

Professional qualifications, certifications and/or registrations relevant to Compliance.



Purpose of the role



To assist and review regulated entity authorisations applications to oversee that they are valid, complete, and compliant with all applicable policies and procedures. Investigating and raise unauthorised regulated entity incidents potentially operating outside of its licence.



Accountabilities



Identification and assessment of potential risks associated with regulated entity authorisations and implement risk mitigation strategies to safeguard the banks and its customers' interests.

Investigation of potential incidents of unauthorised regulated activities and recommending corrective actions and process improvements.

Provision of training to colleagues on how to request UK entity authorisations.

Management of the single depositary (Global Entity Authorisations Register) of regulated entities authorisations status and its licences data by reviewing and approving or denying access requests, as well as maintaining accurate records of all authorisations.

Development and implementation of regulated entity authorisation policies standards and procedures relating to regulated entities business activities and licences.

Development and implementation of authorisations controls supplementary to Business controls.

Provide SME advice and assistance across Barclays on matters that relating to UK Authorisations requirements and internal Barclays governance requirements.



Director Expectations



To manage a business function, providing significant input to function wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide..

They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..

Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.

Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.

Escalates breaches of policies / procedure appropriately.

Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.

Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.

Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.

Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.

Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.

Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.

Negotiate with and influence stakeholders at a senior level both internally and externally.

Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.

Mandated as a spokesperson for the function and business division.



All Senior 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.



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.



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Reasonable adjustment

Our purpose

Equal opportunities

Right to work statement

This is Barclays London



Our global HQ is in Canary Wharf, at the heart of London's financial district. There are over 10,000 colleagues here - a hugely diverse workforce made up of the world's best financial and tech talent. If you love the buzz of city life, this is the place to be.



Supporting active commuters

Time to connect

Wellbeing in focus

Advanced trading floors

Be you. Be valued. Belong.



We celebrate the unique perspectives and experiences each individual brings, believing our differences make us stronger and drive success.



You can learn more about our commitment to our colleague on our Inclusion and Opportunities page.



Learn more

Application Process

Your application



We'll ask for information about you, your CV and cover letter.



1

Your assessment



Covering your behaviours and ability at work.



2

Your interview



Exploring your past experiences and skills.



3

Next step



We'll request additional information so that you can complete our screening process



4



Working flexibly



We're committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognises and supports your personal needs, alongside the professional needs of our business. If you'd like to explore flexible working arrangements, please discuss this with the hiring manager. Your request will be reviewed in-line with the requirements of the role/business needs of the team.



Hybrid working



We have a structured approach to hybrid working, where colleagues work at an onsite location on fixed, 'anchor', days, as set by the business area. Please discuss the working pattern requirements for the role you are applying for with the hiring manager. Please note that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business.



Barclays is built on an international scale.



Our geographic reach, our wide variety of functions, businesses, roles and locations reflect the rich diversity of our worldwide customer base. All of which means we offer incredible variety, depth and breadth of experience.

And the chance to learn from a globally diverse mix of colleagues, including some of the very best minds in banking, finance, technology and business. Throughout, we'll encourage you to embrace mobility, exploring every part of our operations as you build your career.