Private Bank - -Vice President

Barclays

4 - 9 years

30 - 35 Lacs

mumbai

Posted:1 day ago| Platform:

Apply

Skills Required

wealth management compliance investment advisory analytical legal banking asset management research risk management counselling

Work Mode

Work from Office

Job Type

Full Time

Job Description

In-depth knowledge and understanding of the regulatory requirements in India across the functional areas.
Robust understanding of the various products and services offered by the Private Bank business cluster with focus on Investments and Asset management (PMS/AIF/ Investment Advisory/ Research) businesses
Understanding of Gity city regulations will be preferred
Preferred Post graduate qualification and relevant experience commensurate with VP role 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.
Ability to take independent decisions and guide business as well as to handle areas of difference with business and escalate.
Detail oriented, strong team player with a proven track record.

Desirable skillsets/ good to have:

Provide day to day advice and check and challenge the business on all relevant matters including escalating significant matters promptly, providing additional information where requested, analyzing/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.
Proactively lead the enhancement of the local compliance culture in the entity through a range of methods, including attendance at local business/other team meetings, training, engagement with local risk management, operations and front office staff, identification of and sharing best practices.
Active involvement in the product approval procedure (from initial discussion stage to roll out of new products) and provide a holistic view on the product and help the business in determining an appropriate control and governance framework.
Attend and contribute to local, regional and global team meetings/calls, helping identify and share best practices, and undertaking peer reviews.
Attending to all regulatory compliance issues including focus on Investment and asset management related matters compliance advisory covering Investment advisory, Research ,PMS, AIF regulations governed by SEBI

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.

More Jobs at Barclays

Delivery Lead

Pune, Maharashtra, India

Experience: Not specified

Salary: Not disclosed

Solution Architect

Pune

8 - 13 yrs

INR 30 - 37 Lacs

AVP Controls Assurance

Pune

7 - 11 yrs

INR 10 - 14 Lacs

Vice President

Pune

7 - 12 yrs

INR 10 - 15 Lacs

Delivery Lead

Pune

9 - 13 yrs

INR 12 - 16 Lacs

Mock Interview

Practice Video Interview with JobPe AI

Start Job-Specific Interview

Start Your Job Search Today

Browse through a variety of job opportunities tailored to your skills and preferences. Filter by location, experience, salary, and more to find your perfect fit.