Head of Compliance - Barclays Investments Loans India Private Limited

Job Description

Date live: 06/07/2025 Business Area: Compliance Area of Expertise: Compliance Contract: Permanent Reference Code: JR-0000053082 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. See your commute Join us as a “Head of Compliance for Barclays Investments and Loans India Private Limited” at Barclays, Ensure that appropriate compliance induction, annual refresher, and other topical training is delivered locally/centrally and completed by all staff within agreed timeframes, to include producing or sourcing (e.g. from the central team) the material as required, and ensuring that completion records are maintained locally/centrally To be successful as a “Head of Compliance for Barclays Investments and Loans India Private Limited” a Develop and deliver specific regulatory training locally, according to identified risks. You may be assessed on the key critical skills which are relevant for success in role, such as experience with banking & investments, as well as job-specific skillsets. To be success as a Head of Compliance, you must have skill as below: Business and other advisory, communication and escalation: Provide day to day advice and check and challenge the business on all relevant matters pertaining to the firm and including escalating significant matters promptly, providing additional information where requested, analysing/interpreting legal, regulatory and internal policy/procedure issues; Maintain regular communication/liaison with relevant senior management, business and others to ensure that they are aware of the business and regulatory risks, including advising them of significant policy matters, regulatory changes, audits and inspections and breaches, if any. Work closely with the team to enhance the local compliance culture in the entity through a range of methods, including attendance at local business/other team meetings as appropriate, training, engagement with local risk management, operations and front office staff, identification of and sharing best practices. Support the team in the product approval procedure (from initial discussion stage to roll out of new products) Contribute to local, regional and global team meetings/calls, helping identify and share best practices Work with local business(es) to address issues identified Implement robust management reporting processes on all regulatory and policy matters internally, and to regulatory bodies, to ensure timely submission of regular and ad-hoc MI (including but not restricted to conduct risk MI) and input to Region, London, and to all local/other Compliance, Board or Committee reporting. Support the team in meeting the Compliance objective of the Bank Support New Product initiatives in line with the Barclays Standards Regulatory and other authority liaison: Managing regulators’ visits, audits and inspections. Manage implementation of new regulatory initiatives pertaining to compliance and communicate regulatory requirements to the front office. Ensure timely escalation to senior management in case of issues, pending regulatory requirements Training Ensure that appropriate compliance induction, annual refresher, and other topical training is delivered locally/centrally and completed by all staff within agreed timeframes, to include producing or sourcing (e.g. from the central team) the material as required, and ensuring that completion records are maintained locally/centrally. Develop and deliver specific regulatory training locally, according to identified risks. Desirable skillsets/ good to have: In-depth knowledge and understanding of the regulatory requirements for Non Banking Financial Companies in India Robust understanding of the various products and services offered by the firm in India Preferred Post graduate qualification and relevant experience gained in the legal or compliance departments. Strong knowledge of Indian business environment. Ability to work closely with other functions to find both technical and procedural solutions. Quick thinker with ability to understand complex transactions and explain compliance issues clearly and concisely. Guide business as well as to handle areas of difference with business and escalate. Detail oriented, strong team player with a proven track record. This role will be based out of Nirlon Knowledge Park, Mumbai. Purpose of the role To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. Accountabilities Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to. 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. Assistant Vice President Expectations To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions. 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 If the position has leadership responsibilities, People 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. OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required 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. '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. 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. (Opens in new tab or window) (Opens in new tab or window) (Opens in new tab or window) Reasonable adjustment Our purpose Equal opportunities Right to work statement Learn more about Barclays locations Across our campuses, we offer modern workspaces, collaborative areas, and state-of-the-art meeting rooms. Facilities include wellness rooms, on-site cafeterias, fitness centers, and tech-equipped workstations. Designed for innovation and comfort, they support a dynamic and productive work environment. Health and wellness A place where you can belong Collaborative Areas More than work 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.