V-000 Head of Compliance, Spain

V-000 Head of Compliance, Spain

27 mar
|
Barclays
|
Madrid

27 mar

Barclays

Madrid

About Compliance



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



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



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

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



Compliance has Trading Entity aligned coverage teams who are responsible for the provision of compliance advice, monitoring and testing relevant businesses and regions. Central Compliance teams provide shared services and oversight across the group (e.g. Regulatory Requirements & Frameworks, Surveillance, Employee Compliance and Financial Crime Core Services and Data Privacy).



About BBIe Compliance



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



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



Overall purpose of role



Barclays Compliance function’s objective in line with the Barclays Enterprise Risk Management Framework is to assist the firm in understanding and complying with the various financial laws and regulation it is subject to around the world.Its responsibilities can be grouped in three areas:



(i)Information and guidance: The Compliance department develops policies and procedures in response to the regulatory standards and requirements that apply to the firm’s business. While regulatory compliance is ultimately the responsibility of the business lines, it helps the business lines to meet that responsibility by ensuring they receive the information needed to stay informed of relevant banking, securities and futures laws, regulations and procedures. Members of the Compliance department provide training on a variety of regulatory issues.



(ii)Coordination: The Compliance department manages the coordination of the firm’s relationship with its regulators and seeks to develop these relationships.



(iii)Surveillance and enforcement: The Compliance department monitors transaction records and conducts compliance reviews to identify potential areas of concern. It also ensures that improper conducts or failures to comply with regulatory or policy requirements are brought to management’s attention and that appropriate corrective action is taken.



Key Accountabilities



Experienced Compliance Officer supporting the Corporate and Investment Banking businesses in Spain and covering compliance aspects with regards a full range of products in Markets, Investment Banking and Corporate Banking, working closely with the Product Specialists in the main European and International hubs.



Focusing primarily on:



- Providing advice to Spanish Local Office Staff and any other ‘fly in fly out’ staff for the Spanish Office



- Checkingand challenging businesses and functions to effectively mitigate reputation and conduct risks



- Assisting in the review of new products and other advisory related activities that have a Spanish interface



- Input to Global policy drafting and surveillance initiatives to ensure we comply with Local Spanish regulation



- Displaying willingness to network, developing links within the industry and contributing to work of trade associations



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



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



Stakeholder Management and Leadership



The candidate shall work with the head of Southern Europe Compliance as part of a small and dynamic team, with a permanent interaction with the wider BBI Compliance team based in Dublin and other European hubs as well as UK headquarters and elsewhere and excellent coordination and communication skills are therefore crucial.



These are high-exposure roles within a challenging banking environment and we are looking for a candidates with that will be tested daily on their ability to communicate effectively, add value commercially and, above all, to act as a business advisor and advocate for the bank’s interests.



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



These opportunities require a great understanding of relevant Investment Banking and Corporate Banking products, services and businesses, such as equities, fixed income, derivatives, M&A;, corporate finance, capital markets, lending, risk management, cash and trade and specialist asset and sales financing.



Decision-making and Problem Solving



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



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



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



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



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.



Person Specification



High level of analytical thinking, together with a high standard of judgement, problem solving and persuasion skills. The role holder will be able to deliver objectives consistently within required timescales and will demonstrate a commitment to high standards of delivery. It is crucial having very good interpersonal skills, including communication capacities and good self-confidence as needed in order to properly discharge the check and challenge duties embedded in a Compliance Advisory role.



Essential Skills/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



Desirable skills/Preferred Qualifications:



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



CBI Regulated Role



This role is deemed as a Controlled Function role under the Central Bank of Ireland Fitness and Probity Regulations and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.



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



Purpose and Values



Barclays has a single cross-business Purpose for Barclays and five core Values which underpin it.



Our Purpose is to create opportunities for people to rise- customers, clients, colleagues and society. Put simply this is the answer to the question ‘What is Barclays for?’ 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 in all we do.



Service



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



Excellence



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



Stewardship



We are passionate about leaving things better than we found them.

El anuncio original lo puedes encontrar en Kit Empleo:
https://www.kitempleo.es/empleo/17049479/v-000-head-compliance-spain-madrid/?utm_source=html

Postulate a este anuncio

Muestra tus habilidades a la empresa, rellenar el formulario y deja un toque personal en la carta, ayudará el reclutador en la elección del candidato.

Suscribete a esta alerta:
Escribe tu dirección de correo electrónico, te permitirá de estar al tanto de los últimos empleos por: v-000 head of compliance, spain
Publica un nuevo anuncio gratuito
Necesitas publicar un anuncio? Con más de 1 millón de usuarios únicos al mes en corto encontrarás el candidato ideal para tu empresa, ¿qué estás esperando!
Publica ahora

Suscribete a esta alerta