Overview

Main Function of the Job

Our client, a global bank is seeking an ideal candidate to manage and develop all aspects of risk and control for the company’s Business acting as a member of the COO’s team in the US. The individual will have a particular focus on management of the governance and controls framework supporting  the US Corporate Bank with respect to local and global risk related obligations and oversight reporting.

 

Main duties and responsibilities

30% – Leadership  

  • Assist with the planning, designing and implementation of an overall risk management process for the organization
  • Assist with defining the target operating model for the control framework and leading the programme of work to its implementation and execution
  • Responsible for engagement with regulators and auditors on behalf of the business and primary contact point and gatekeeper for all internal risk and control stakeholders
  • Represent the firms Corporate in the US in local and global forums associated with risk and control activities
  • To act as additional escalation source of business process issues to the COO and head of the business, whilst retraining primary responsibility for the strategic direction and management of the control and risk oversight function

 

30% – Governance

  • Work with the business to identify, track and mitigate risks arising from BAU activities
  • Provide oversight of Compliance, Regulatory, Fraud, IRM and ORM policies
  • Responsible for Assurance Testing program across all business areas within Barclays Corporate
  • Ensure robust control environment within all business areas through performance of business reviews and risk control assessments to include ownership of any associated remediation plans
  • Oversight and investigation of Risk Events and Refunds
  • Provide oversight and assurance testing of policies and procedures including:
    • IRM (Records Management and data privacy) and LAM
    • New Staff Onboarding
    • BCM plan updates
    • G&E policy adherence
    • Fly-In/Fly-Out adherence
    • Information Barriers adherence
    • NPA adherence and oversight
  • Management of relationship with US and UK Compliance and Ops Risk
  • Provide mentoring and direction to direct reports and team members
  • Agree challenging performance and development objectives providing regular ongoing support in assessing the effectiveness of the fraud prevention control framework
  •  Ensure effective support in the development of strategies to enhance the control framework
  • Act in the capacity of ‘fraud champion’ for the business, raising the awareness levels of fraud across Corporate Banking

 

20%- Management & Reporting

  • Accountable for the Monthly Risk issues capture and reporting for US Steering Committee
  • Work with Risk teams in the US and UK to manage and improve reporting of risks, controls and actions on monthly basis
  • Identify and manage effective communication channels with stakeholders
  • Provide accurate and detailed information to COO and other key stakeholders including Group Risk, Operations, and Finance etc.

 

20%- Management & Reporting

  • Accountable for the Monthly Risk issues capture and reporting for US Steering Committee
  • Work with Risk teams in the US and UK to manage and improve reporting of risks, controls and actions on monthly basis
  • Identify and manage effective communication channels with stakeholders
  • Provide accurate and detailed information to COO and other key stakeholders including Group Risk, Operations, and Finance etc.

 

Basic Qualifications

  • Bachelor’s Degree
  • 4+ year experience and track record working with risk based stakeholders such as Compliance, Financial Crime, Audit etc.
  • 4+ years of demonstrated experience in a similar role
  • 4+ years of experience demonstrating strong oral and written skills (comfortable presenting at a very senior level)

 

Preferred Qualifications

  • Experience facing off with external regulators or organizations of authority such as external auditors
  • Experience designing controls and/or writing procedures

 

Please send Resumes to JKelly@ComplianceSearch.com

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