[S-515] | Head of Compliance, Spain

[S-515] | Head of Compliance, Spain

26 mar
|
Barclays
|
Madrid

26 mar

Barclays

Madrid

About Compliance



The purpose of Compliance is to strengthen the culture of Barclaysby providing oversight of the management of Conduct and Reputation risk. Complianceparticipates in the prevention, detection and management of breaches ofapplicable laws, rules, regulations and procedures and has a key role inhelping Barclays achieve the right conduct outcomes and evolve aconduct-focused culture.



Compliance participates in the prevention and detection ofbreaches of applicable laws, rules, regulations and procedures and has a keyrole in helping Barclays achieve the right conduct outcomes and evolve aconduct focused culture.



Compliance, along with Risk, forms Barclays’ Second Line of Defence,which establishes the limits,

rules and constraints under which First Lineactivities shall be performed and monitors the performance of the First Lineagainst these. In the event that the First Line breaches limits or contravenesrules, Compliance may, at its discretion, direct the activities of the First Lineto bring it within compliance.



Compliance has Trading Entity aligned coverage teams who areresponsible for the provision of compliance advice, monitoring and testingrelevant businesses and regions. Central Compliance teams provide sharedservices and oversight across the group (e.g. Regulatory Requirements &Frameworks;, Surveillance, Employee Compliance and Financial Crime Core Servicesand Data Privacy).



About BBIe Compliance



BBI PLC (BBI) is a wholly owned subsidiary of the non-ring-fencedbank of BB PLC and consists of Banking, Corporate Banking, Cards and Payments,Markets and Private Banking.



Aligned with Compliance Group framework, BBI Compliance isresponsible for the 2nd Line of Defence (2LOD) compliance processes andactivities applicable to Barclays Bank Ireland PLC (BBI) and the BBI ChiefCompliance Officer (CCO) is the Accountable Executive for these processes andactivities. BBI Compliance are responsible and accountable for the overallcompliance function activities within BBI.



Overallpurpose of role



Barclays Compliance function’s objective in linewith the Barclays Enterprise Risk Management Framework is to assist the firm inunderstanding and complying with the various financial laws and regulation itis subject to around the world.Itsresponsibilities can be grouped in three areas:



(i)Information andguidance: The Compliance department develops policies and procedures inresponse to the regulatory standards and requirements that apply to the firm’sbusiness. While regulatory compliance is ultimately the responsibility of thebusiness lines, it helps the business lines to meet that responsibility byensuring they receive the information needed to stay informed of relevantbanking, securities and futures laws, regulations and procedures. Members ofthe Compliance department provide training on a variety of regulatory issues.



(ii)Coordination: TheCompliance department manages the coordination of the firm’s relationship withits regulators and seeks to develop these relationships.



(iii)Surveillance andenforcement: The Compliance department monitors transaction records andconducts compliance reviews to identify potential areas of concern. It alsoensures that improper conducts or failures to comply with regulatory or policyrequirements are brought to management’s attention and that appropriatecorrective action is taken.



KeyAccountabilities



Experienced Compliance Officer supporting theCorporate and Investment Banking businesses in Spain and covering complianceaspects with regards a full range of products in Markets, Investment Bankingand Corporate Banking, working closely with the Product Specialists in the mainEuropean and International hubs.



Focusing primarilyon:



- Providing adviceto Spanish Local Office Staff and any other ‘fly in fly out’ staff for theSpanish Office



- Checkingand challenging businesses and functions toeffectively mitigate reputation and conduct risks



- Assisting in thereview of new products and other advisory related activities that have aSpanish interface



- Input to Globalpolicy drafting and surveillance initiatives to ensure we comply with Local Spanishregulation



- Displayingwillingness to network, developing links within the industry and contributingto work of trade associations



- Assisting in thedevelopment and the roll-out of bespoke Compliance training programmes



- Demonstratingability to work as part of a European and wider global team



StakeholderManagement and Leadership



The candidate shall work with the head of SouthernEurope Compliance as part of a small and dynamic team, with a permanentinteraction with the wider BBI Compliance team based in Dublin and otherEuropean hubs as well as UK headquarters and elsewhere and excellentcoordination and communication skills are therefore crucial.



These are high-exposure roles within a challengingbanking environment and we are looking for a candidates with that will betested daily on their ability to communicate effectively, add valuecommercially and, above all, to act as a business advisor and advocate for thebank’s interests.



Required ability to demonstrate a working knowledgeof material legislations (including without limitation on Financial Crimes),conduct of business and market rules in the jurisdiction in which the bankoperates and holding a detailed knowledge of Spanish regulations. Requiredpractical experience in translating regulations into workable policies andprocedures. Strong report writing skills in English and experience ofinteraction at Senior Management level as well as with Regulators will also beessential.



These opportunities require a great understandingof relevant Investment Banking and Corporate Banking products, services andbusinesses, such as equities, fixed income, derivatives, M&A;, corporatefinance, capital markets, lending, risk management, cash and trade andspecialist asset and sales financing.



Decision-makingand Problem Solving



- Ability to work independently although in the context ofa wider Compliance team, taking an innovative approach to problem solving and adesire to be part of a global team building the best Compliance systems andcontrols in the Industry.



- Ability to apply judgment to complex analysis to draw outkey elements of advice.



- Act as a trusted advisor to business teams, other controlfunctions and other infrastructure areas



Risk and Control Objective [This section is mandatory for allrole profiles and must not be deleted]



Ensure that all activities andduties are carried out in full compliance with regulatory requirements,Enterprise Wide Risk Management Framework and internal Barclays Policies andPolicy Standards.



PersonSpecification



High level of analytical thinking, together with ahigh standard of judgement, problem solving and persuasion skills. The roleholder will be able to deliver objectives consistently within requiredtimescales and will demonstrate a commitment to high standards of delivery. Itis crucial having very good interpersonal skills, including communicationcapacities and good self-confidence as needed in order to properly dischargethe check and challenge duties embedded in a Compliance Advisory role.



EssentialSkills/Basic Qualifications:



• Experience of Spanish Regulatory Market



• Compliance experience in an investment banking,Corporate Banking and Private Banking (the latter not essential)



• Experience of developing policy, assessing risks,conflicts, implementing procedures, training, surveillance, monitoring,investigations and review for Spanish Market



• Experience of dealing with Regulators



• Proven track record in the Spanish market



Desirableskills/Preferred Qualifications:



At least 6-8 years’ Financial Services experience,ideally gained (i) in the legal and / or compliance function of a Spanishinvestment bank or a regional subsidiary of an international financialinstitution or (ii) at a major law/consulting firm, if combined with bankingbackground and / or stages in relevant business or infrastructure areas of afinancial institution.



CBIRegulated Role



This role is deemed asa Controlled Function role under the Central Bank of Ireland Fitness andProbity Regulations and may require the role holder to hold mandatoryregulatory qualifications or the minimum qualifications to meet internalcompany benchmarks.



Other registrationsmay be required linked to local responsibility vis-à-vis local regulators.



Purposeand Values



Barclays hasa single cross-business Purpose for Barclays and five core Values whichunderpin it.



Our Purposeis to create opportunities for people to rise- customers, clients, colleaguesand society. Put simply this is the answer to the question ‘What is Barclaysfor?’ and it should guide our every action as employees.



Respect



We respect and value those we work with,and the contribution that they make.



Integrity



We act fairly, ethically and openly inall we do.



Service



We put our clients and customers at thecentre of what we do.



Excellence



We use our energy, skills and resourcesto deliver the best, sustainable results.



Stewardship



We are passionate about leaving thingsbetter than we found them.





More about working at Barclays



We deploy finance responsibly to support people and businesses, acting with empathy and integrity, championing innovation and sustainability, for the common good and the long term.



Respect: We harness the power of diversity and inclusion in our business, trust those we work with, and value everyone's contribution.



Integrity: We operate with honesty, transparency and fairness in all we do.



Service: We act with empathy and humility, putting the people and businesses we serve at the centre of what we do.



Excellence: We champion innovation, and use our energy, expertise and resources to make a positive difference.



Stewardship: We prize sustainability, and are passionate about leaving things better than we found them.



Barclays offers a diverse, inclusive and engaged culture. A place where people can bring their whole selves to work and be respected for who they are, valued for what they do and celebrated for their contribution to our business and our community.



We are an equal opportunity employer and opposed to discrimination on any grounds. It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, 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.



Dynamic Working is a flexible approach to working. Dynamic Working empowers each of us to work in a way that suits ours lives, so we can better serve our customers’ and clients’ needs. Whether you have family commitments or you’re a carer; whether you need study time or ‘me’ time, Dynamic Working is designed to help you balance your life.

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