Compliance Officer AVP-Advisory

Compliance Officer AVP-Advisory

Requirements

• Experience with compliance advisory guidance, risk management and regulatory oversight
• Advising on marketing collateral, initiatives and campaigns which would include new product review, day-to-day product guidance, and formal review of marketing materials and other customer-facing collateral within SLAs to ensure materials follow applicable laws and adhere to Barclay’s Compliance Risk and Reputation Risk framework
• Active engagement with key initiatives within USCB including new project initiatives and programs assisting in the check and challenge of control activities to ensure compliance requirements, including USCB Compliance Operational Guidance, are implemented
• Tracking and following-up on Compliance related issues to ensure remediation and closure in accordance with policies, procedures, and standards
• Bachelor’s or Master’s degree in Law, Finance, Business, or a related field

Responsibilities

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems
• Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct
• Conduct investigation of compliance risk events or breaches
• Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences
• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements
• Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management
• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime
• To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness
• Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function
• Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes
• Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues
• Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda
• Take ownership for managing risk and strengthening controls in relation to the work done
• Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy
• Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc) to solve problems creatively and effectively
• Communicate complex information
• Influence or convince stakeholders to achieve outcomes

Preferred Qualifications

• Prior or current experience in reviewing marketing collateral and other customer facing collateral
• Experience with consumer protection regulations from a compliance advisory perspective (e.g., ECOA, TILA, FCRA, UDAAP, Can-Spam)
• Ability to analyze business processes, identify compliance risks, and recommend and champion improvements
• Stakeholder management and excellent verbal and written communication skills