AVP - Complaints Framework & Governance

To be successful as an "AVP Complaints Framework Governance", you should have experience with:

Essential Skills/Basic Qualifications:

• The candidate must possess proficiency in production of Microsoft PowerPoint presentation decks and be able to present the data to senior management and in governance forums.
• Good understanding of Markets Business (Equity, Credit, FX, Rates, Prime Services) and financial instruments like bonds, CDS, options, swaps, etc.
• Background of working in Legal/Compliance role or role in managing customer complaints.
• Excellent PowerPoint and Advanced Excel knowledge along with clear demonstration of these skills in previous work experience.
• Excellent communication skills.
• Confident in dealing with groups outside of immediate team (Sales, Trading, Legal, Compliance, etc.).
• Executing against tight deadlines.
• Ability to handle stressful situations.
• Good Stakeholder communication skills.
• Evidence of successful collaboration in a global, geographically dispersed environment.

Desirable skills/Preferred Qualifications:

• Working experience within an Investment Bank close to the front line in a challenging role where no two days are the same.
• A risk and control mind-set with a strong understanding of Investment Banking Regulations from the perspective of operational implementation.
• Good exposure to various products in Markets business.
• Very good attention to details and structured approach to handle activities.
• Able to support automation/programming aspects.
• Comfortable with analyzing data and problem solving.
• Strong written and verbal communication skills.

Location-Pune

You may be assessed on the key critical skills relevant for success in role, such as risk and controls, change and transformation, business acumen strategic thinking, as well as job-specific technical skills.

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Purpose of the role

To assess the integrity and effectiveness of the banks internal control framework to support the mitigation of risk and protection of the banks operational, financial, and reputational risk.

Accountabilities

• Collaboration with various stakeholders across the bank and business units to improve overall control effectiveness through detailed documentation of control assessments, procedures, and findings.
• Identification and investigation of potential weaknesses and issues within internal controls to promote continuous improvement and risk mitigation aligned to the bank s control framework, prioritised by its severity to disrupt bank operations.
• Development of reports to communicate key findings from risk assessment including control weaknesses and recommendations to control owners, senior management, and other stakeholders.
• Execution of reviews to determine the effectiveness of the banks internal controls framework aligned to established and evolving policies, regulation, and best practice.
• Implementation of adherence to the Barclays Controls Framework and set appropriate methodology of assessing controls against the Controls Framework.

Assistant Vice President Expectations

• 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. Complex information could include sensitive information or information that is difficult to communicate because of its content or its audience.
• Influence or convince stakeholders to achieve outcomes.