Compliance Advisory
| Company | Barclays |
|---|---|
| Location | Wilmington, DE, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior, Expert or higher |
Requirements
- Proven experience in compliance advisory, risk management, and regulatory oversight
- Understanding of U.S. consumer regulations (e.g., ECOA, TILA, FCRA, UDAP, CAN-SPAM)
- Ability to provide expert review of marketing and customer-facing collateral
- Experience engaging with senior management and cross-functional stakeholders
Responsibilities
- Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems
- 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
- Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions
- Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime
- Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment
- Manage and mitigate risks through assessment, in support of the control and governance agenda
- Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does
- Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies
- Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives
- Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders
Preferred Qualifications
- Familiarity with 1LOD and 2LOD risk governance models
- Excellent written and verbal communication and influencing skills
- CRCM certification or similar preferred
- Bachelor’s degree preferred