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Barclays
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Employee Compliance Analyst

Employee Compliance Analyst

Barclays

9 - 13 years

11 - 12 Lacs

pune

Posted:3 hours ago| Platform:

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Skills Required

manager quality assurance compliance senior analyst process improvement fixed income investment banking risk management continuous improvement operations monitoring

Work Mode

Work from Office

Job Type

Full Time

Job Description

Join us as an Employee Compliance Analyst at Barclays, where youll spearhead the evolution of our digital landscape, driving innovation and excellence. Youll harness cutting-edge technology to revolutionise our digital offerings, ensuring unapparelled customer experiences.
You may be assessed on the key critical skills relevant for success in role, such as experience with thematic oversight team, as well as job-specific skillsets.

To be successful as an Employee Compliance Analyst, you should have experience with:

Ability to be a team player in a fast-paced environment.
Self-starter with the ability to meet or exceed expectations, meet deadlines, prioritize work, multi-task and maintain flexibility in fast-paced, high volume and changing environment
Reliable, dependable, and accountable
Implementation of surveillance and monitoring systems to track and report on employee behavior.
Completion of task and exceptions from the following areas Conduct Rules, Mandatory Block Leave and Personal Account Dealing to ensure oversight of relevant Employee Conduct policy and standards.
Provision of advice and assistance across Barclays on matters that relating to employee conduct.

Basic/ Essential Qualifications:

Basic Knowledge of Employee Compliance areas (including but not limited to Personal Account Dealing, Outside Business Interests, Gifts and Entertainment, Registrations and Breach Management)
Understand risk management and controls
Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities.
Ability to interpret and analyze complex regulatory concepts and translate into simple summaries for employees and business
Excellent communications skills and ability to engage with stakeholders in a productive and meaningful manner

Desirable skillsets/ good to have:

Provide coverage on Employee Compliance activities such as clearance of requests and exceptions, undertaking quality assurance including issuing breaches in line with specific team procedures.
Respond to colleague queries on their obligations and requirements and be ready to respond/assist within our Group-Wide Policy and Standards relating to Employee Compliance
Understand, explain, and advise on Employee Compliance policy requirements to employees as required
Maintaining certain information / data points in relevant Barclays systems, databases and other record keeping sources, including conducting quality assurance with respect of data entries made by the team and by others.
Offer practical solutions and suggestions for process improvement especially in identifying inefficiencies or weaknesses in current Employee Compliance workflows, controls or procedures.
Provide practical first line input in support of Technology colleagues, in the delivery of continuous improvement and fixes to our systems and technology platforms.
Participate in both local and global project initiatives, including assisting Technology on any system rollouts (i. e. design specifications, user requirements and testing)
Identify risks or issues for escalation to leadership, and pro-actively recommend solutions
Conduct training of our Group-Wide Policy and Standards relating to Employee Compliance
Some experience of Compliance is preferable ideally in Personal Account Dealing, Outside Business Interests, Senior Manager regime, Breach management, Registrations or equivalent.

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Barclays

Financial Services

London

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Employee Compliance Analyst