AVP - Regulatory Reporting and Controls

Purpose of the role

To support business areas with day-to-day processing, reviewing, reporting, trading and issue resolution. 

Accountabilities

• Support various business areas with day-to-day initiatives including processing, reviewing, reporting, trading, and issue resolution.
• Collaboration with teams across the bank to align and integrate operational processes.
• Identification of areas for improvement and providing recommendations in operational processes.
• Development and implementation of operational procedures and controls to mitigate risks and maintain operational efficiency.
• Development of reports and presentations on operational performance and communicate findings to internal senior stakeholders.
• Identification of industry trends and developments to implement best practice in banking operations.
• Participation in projects and initiatives to improve operational efficiency and effectiveness.

Assistant Vice President Expectations

• To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions.
• Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function. Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes
• If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.
• OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.
• Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
• Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.
• Take ownership for managing risk and strengthening controls in relation to the work done.
• Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.
• Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, solve problems creatively and effectively.
• Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.
• Influence or convince stakeholders to achieve outcomes.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.

This is an exciting opportunity to join us as AVP - Regulatory Reporting and Controls. You will be a key member of the APAC Operations in the Regulatory reporting space, responsible for the regulatory adherence of APAC regulations, ensuring completeness, accuracy and timelines of regulatory reporting and the primary contact point for Compliance, Business and Regulatory Relations. You will be working with Compliance to respond to regulator enquiries, exams, surveys and issue management, representing Barclays at industry forums, working groups and be on top of regulatory developments and responsible for defining a conformance testing approach, reporting output, processes and controls.
 

You may be assessed on key critical skills relevant for success of the role including job-specific technical skills and interpersonal skills.

To be successful for the role, you should possess the following skills or experience:

• Experience in regulatory reporting including trade reporting, substantial shareholdings reporting, short position disclosure, takeover panel reporting and understanding of APAC regulatory reporting requirements such as MAS, HKMA, JFSA, ASIC
• Excellent working knowledge of equities and financial products such as ETFs, F&Os and OTC derivatives and the associated trade lifecycle events
• Ability to interpret and implement regulatory requirements into day-to-day operations, lead regulatory change and implementation
• Proven ability to manage cross-functional projects and regulatory change initiatives
• Ability to communicate effectively with internal stakeholders, including COO, Compliance, Technology, and Businesses to drive regulatory change, issue resolution and escalation
• Experience in liaison with regulators, trade repositories, vendors and representation in industry working groups and forums
• Data analysis, conformance testing and quality assurance, ability to work with large data sets and different system flow/logic to identify gaps and resolve issues
• Good attention to detail and ability to work through complex system flow, data lineage and APAC nuance
• Ability to interpret complex regulatory texts and regulations (e.g. aosphere, Securities and Futures Act, Securities and Futures Ordinance) and translate them into functional operational requirements
• Experience with data transformation tools (e.g., Xceptor, Alteryx)

Barclays is required by law to confirm that you have the Legal Right to Work in any role that you apply for. If you currently hold a work visa sponsored by Barclays, or you would require sponsorship from Barclays, you must declare this as part of your application. Sponsored visas are role and entity specific, and any changes must be reviewed. It is important that you ensure you are working on the correct visa at all times. Failure to accurately disclose your visa status or Legal Right to Work may result in your application or any employment offer being withdrawn at any time.