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Head of Customer Care Compliance

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Barclays

Nov 10

Applications are closed

  • Job
    Full-time
    Expert Level
  • Government & Politics

Requirements

  • In depth Compliance knowledge in retail financial services
  • Understanding of the FCA handbook, including Consumer Duty
  • Excellent stakeholder management skills
  • Strong leadership, managing teams across a multi-site environment

Responsibilities

  • 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.
  • To manage a business function, providing significant input to function wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide.
  • They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions.
  • Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
  • Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
  • Escalates breaches of policies / procedure appropriately.
  • Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
  • Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
  • Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
  • Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
  • Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
  • Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
  • Negotiate with and influence stakeholders at a senior level both internally and externally.
  • Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
  • Mandated as a spokesperson for the function and business division.

FAQs

What qualifications are required for the Head of Customer Care Compliance role?

Candidates should have in-depth compliance knowledge in retail financial services and a strong understanding of the FCA handbook, including Consumer Duty.

What is the main purpose of the Head of Customer Care Compliance position?

The main purpose is to provide data-led expert oversight and check and challenge on business and compliance matters, ensuring the organization operates in compliance with legal, regulatory, and ethical responsibilities.

What are the key accountabilities of this role?

Key accountabilities include identifying and assessing compliance risks, investigating potential market abuse, conducting investigations of compliance risk events, implementing compliance policies, and collaborating with relevant teams on compliance and risk management.

What leadership responsibilities does the Head of Customer Care Compliance have?

Responsibilities include managing a large team, leading other people managers, embedding a performance culture, coaching specialists, and influencing function-wide strategic initiatives.

What are the expectations regarding stakeholder management for this role?

The role requires excellent stakeholder management skills, including providing expert advice to senior functional management and negotiating with stakeholders at a senior level both internally and externally.

What kind of regulatory issues should the Head of Customer Care Compliance monitor?

The Head of Customer Care Compliance should monitor potential money laundering, terrorist financing, financial crime, and ensure compliance with relevant policies and procedures.

What behaviours are expected from Senior Leaders at Barclays?

Senior Leaders are expected to demonstrate leadership behaviours that include listening and being authentic, energizing and inspiring others, aligning across the enterprise, and developing others.

What values does Barclays expect its employees to uphold?

Barclays expects employees to demonstrate values of Respect, Integrity, Service, Excellence, and Stewardship, along with a mindset to Empower, Challenge, and Drive.

Is experience in multi-site management important for this role?

Yes, strong leadership experience in managing teams across a multi-site environment is essential for this role.

Will the Head of Customer Care Compliance be involved in policy creation?

Yes, the role includes managing, coordinating, and enabling resourcing, budgeting, and policy creation for a significant sub-function.

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Barclays

Barclays is a British multinational bank offering personal, corporate, and investment banking services worldwide.

Finance
Industry
10,001+
Employees
1690
Founded Year

Mission & Purpose

Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate and investment bank, all of which are supported by our service company which provides technology, operations and functional services across the Group. With over 325 years of history and expertise in banking, Barclays operates in over 40 countries and employs approximately 83,500 people. Barclays moves, lends, invests and protects money for customers and clients worldwide. Barclays is a trading name of Barclays Bank PLC and its subsidiaries. Barclays Bank PLC is registered in England and is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Registered in England. Registered No. 1026167. Registered office: 1 Churchill Place, London E14 5HP.

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