Director, Conformance Lead - Internal Audit and Regulatory Engagement
Compliance Search Group
: $133,345.00 - $141,030.00 /year *
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Director, Conformance Lead - Internal Audit and Regulatory Engagement * * Barclays * Whippany, NJ Share this: * Click to share on Facebook (Opens in new window) * Click to share on Twitter (Opens in new window) * Click to share on Google+ (Opens in new window) * Click to share on LinkedIn (Opens in new window) * Director Internal Audit [INS: :INS] Overview Description About Barclays Barclays is a transatlantic consumer, corporate and investment bank offering products and services across personal, corporate and investment banking, credit cards and wealth management, with a strong presence in our two home markets of the UK and the US. Our goal is to become the bank of choice by providing superior services to customers and clients and supporting our stakeholders via a commercially successful business that generates long-term sustainable returns. Our two clearly defined divisions, Barclays UK and Barclays International, provide diversification by business line, geography and customer, enhancing financial resilience and helping to contribute to the delivery of consistent returns through the business cycle. We have a strong core business with exciting prospects, well positioned to deliver long-term value for our shareholders. Consistent with the objective of delivering long-term sustainable value for all our stakeholders, we have developed our Shared Growth Ambition - our approach to citizenship and the sustainability of the business model we operate. The aim is to make decisions and do business that provides our clients and customers, and the communities which we serve, with access to a prosperous future. The delivery of our strategy is underpinned by the energy, commitment and passion of our people, and we are clear on our common purpose: to help people achieve their ambitions, in the right way. About Enterprise Data & RFT COO The Chief Data Office as part of the Enterprise Data Transaction Cycle has strategic accountability for the provision of Data Management and Records Management services across Barclays, to drive the adoption, execution and evaluation of compliance, in relation to the Group Data Management and Group Records Management Policies and Standards. The Risk, Finance and Treasury (RFT) Chief Operating Office (COO) Transaction Cycle provides strategic and Subject Matter Expert (SME) direction and governance regarding the delivery of Processes, Technology, Operations and Programme Management for the Risk, Finance and Treasury functional groups EEO 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. 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. Overall purpose of role The Conformance team is responsible for supporting the management of Risk & Control relating to Barclays' Policies, Standards and Key Controls across Enterprise Data including Data Management and Records Management The purpose of this role is to support the management teams and the Group CDO with regards to the engagements with both Barclays Internal Audit (BIA) and Regulatory Relations. The core responsibilities include establishing a valuable Audit calendar in partnership with BIA and understanding ongoing and upcoming Regulatory exams. Key Accountabilities Key Specific Accountabilities * Support the Group Data Management programme by leading a team to interact with BIA and Reg Relations * Set the annual Audit calendar in partnership with Senior Audit lead and ensuring audit work is both valuable, timely, and based on current need and potential risk areas * Work with both BIA and CDO Management team to set appropriate and agreed scope if each exam * Determine internal team members to engage with BIA during audit work * Monitor progress of all in-flight audits * Help drive agreement collectively on severity, action items and ownership of findings * Engage audit teams outside of programme to understand where other findings may have impact on Data programme * Partner with Reg Relations to understand upcoming Reg Exams and prepare the Data team for engagement with Regulator * Coordinate responses and data provided to Regulators * Provide weekly reporting of status of Audits in-flight and forward looking calendar Stakeholder Management * Build and maintain collaborative working relationships with key stakeholders and subject matter experts at senior levels across a globally distributed organisation * Provide transparency into progress of Audits and escalating potential findings timely * Manage and maintain the flow of communication between key stakeholders across the group Leadership * Be viewed as entry point of contact to entire organization * Set, communicate and ensure implementation of clear direction in support or broader strategic goals and objectives * Articulate messages to a variety of audiences and through a variety of mediums, including the strategy of the wider organisation Risk and Control Objective 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 Basic Qualifications: * Four-year college degree or international equivalent * 10+ years of Internal Audit or Chief Controls Office experience, or other related experience * 2+ years of managing a small team Preferred Qualifications: * Strong influencing and leveraging skills as the role operates across a matrix * Evidence of a partnership approach to deliver outcomes * Strong problem solving ability to address new situations and efficiently handle any incidents which may arise To apply for this job please visit barclays.taleo.net. __________________________________________________ You can apply to this job and others using your online resume. Click the link below to submit your online resume and email your application to this employer. Login to bookmark this Job
* Four-year college degree or international equivalent * 10+ years of Internal Audit or Chief Controls Office experience, or other related experience * 2+ years of managing a small team Preferred Qualifications: * Strong influencing and leveraging skills as the role operates across a matrix * Evidence of a partnership approach to deliver outcomes * Strong problem solving ability to address new situations and efficiently handle any incidents which may arise