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Assistant Vice President
Barclays Capital
New York, NY, United States
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Assistant Vice President - BIA US Compliance Team
Description
Barclays is an international financial services provider engaged in personal banking, credit cards, corporate and investment banking and wealth management with an extensive presence in Europe, the Americas, Africa and Asia. Barclays’ purpose is to help people achieve their ambitions – in the right way.
With over 325 years of history and expertise in banking, Barclays operates in over 40 countries and employs approximately 130,000 people. Barclays moves, lends, invests and protects money for customers and clients worldwide. Please visit our website here for more information.
About Barclays Internal Audit
Barclays Internal Audit (BIA) Vision: Leaders in Assurance
• Be Brilliant: Leading edge assurance; Leading edge people; Leading edge thinking
• Be Impactful: In the business; In the community and In the profession
• Be Agile: Be independent, a respected voice, innovative and efficient.
BIA Overview: BIA aims to provide independent, reliable, valued, insightful and timely assurance to the Board and executive management over the effectiveness of governance, risk management and control over current and evolving risks, in the context of the current and expected business environment and in accordance with the international standards definition of internal auditing.
Overall purpose of role:
Work collaboratively with others in BIA to develop strong independent client relationships, to be a respected voice. Responsible for delivery of audits/assignments to a high standard in line with audit methodology and to support delivery of the BIA Audit Plan. The responsibilities will include audits of the relevant frameworks, policies, standards, and processes over Compliance, Financial Crime, HR and Legal functions.
Key Accountabilities
• Support the Vice President in scoping the audit where necessary.
• Identify, assess & document risks and controls.
• Complete testing.
• Evaluate the design and operating effectiveness of controls & document this understanding in the BIA audit toolkit.
• Update the Vice President and audit team with progress and observations.
• Write high quality audit observations and support the Audit Lead in writing the report.
• Provide suggestions to management for actions to address control issues identified.
• Proactively take on additional tasks as requested by Vice Presidents/Directors/Managing Directors.
• Suggest practical ways of improving the work they do and apply where appropriate.
Stakeholder Management and Leadership
• Build strong relationships and mutual trust with all BIA colleagues
• Build a respected and independent relationship with external colleagues and stakeholders
• Discuss and agree the factual accuracy of audit observations with clients/Vice President/Director as appropriate.
Teamwork
• Own and drive personal learning to support achievement of career aspirations.
• Provide constructive feedback and evaluation to team members for audit assignments.
• Act as buddy to less experienced team members and support others to develop.
• Share knowledge with BIA colleagues and stakeholders in the business as appropriate with an independent mind set.
• Be open to learn from others through feedback given to you.
• Treat all colleagues fairly, regardless of background or circumstance.
• Be comfortable to challenge others; be prepared to be challenged.
Decision-making and Problem Solving
• Take into account reputation of Barclays at all times, through positive interactions and following policy and process.
• Sets an example and supports fair and ethical behavior in all colleagues.
Risk and Control: All Barclays colleagues have to ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards
Your Skills and Qualifications will include
Basic Qualifications
• Bachelors Degree
• 4+ years experience of auditing in Financial Services
Preferred Qualifications
• Experience of auditing Financial Crime Regulations, inc KYC, AML, Sanctions
• Practical understanding of relevant regulatory environment
• Proven track record of high performance in previous roles
• Experience in risk based auditing or risk/control activities
• Strong written and verbal communication skills
The Benefits: Our customers deserve the best. The same goes for our employees. That's why at Barclays you'll receive a range of benefits that include a competitive salary and all the tools, technology and support you need to succeed.
Our Culture: Everything we do is shaped by the five values of Respect, Integrity, Service, Excellence and Stewardship. The values inform the foundations of our relationships with customers and clients, but they also shape how we measure and reward the performance of our employees. Simply put, success is not just about what you achieve, but about how you achieve it.
Dynamic working gives everyone at Barclays the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager.
Barclays is an equal opportunity employer and are opposed to discrimination on any grounds.For more detailed information, please visit our dedicated Diversity and Inclusion site here.
EEO statement
It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.