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Controls Director - UKCB

senior · Risk & Compliance

Job Description

Purpose of the role

To assess the integrity and effectiveness of the banks internal control framework to support the mitigation of risk and protection of the banks operational, financial, and reputational risk.  

Accountabilities

• Knowledge of business areas, products, processes and platforms to be able to assess risk
• Collaboration with various stakeholders across the bank and business units to improve overall control effectiveness through detailed documentation of control assessments, procedures, and findings.
• Identification and investigation of potential weaknesses and issues within internal controls to promote continuous improvement and risk mitigation aligned to the bank’s control framework, prioritised by its severity to disrupt bank operations.
• Development of reports to communicate key findings from risk assessment including control weaknesses and recommendations to control owners, senior management, and other stakeholders.
• Execution of reviews to determine the effectiveness of the bank's internal controls framework aligned to established and evolving policies, regulation, and best practice.
• Implementation of adherence to the Barclays Controls Framework and set appropriate methodology of assessing controls against the Controls Framework.

Director Expectations

• To manage a business function, providing significant input to function wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide..
• They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
• Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
• Escalates breaches of policies / procedure appropriately.
• Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
• Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
• Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
• Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
• Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
• Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
• Negotiate with and influence stakeholders at a senior level both internally and externally.
• Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
• Mandated as a spokesperson for the function and business division.

All Senior 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.

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.

Overall purpose of role: This role within the first line of defence is responsible for:

• Global responsibility leading the control partnering team covering the Corporate Client Servicing function in C&P COO.
• Support the Global Head of Corporate Client Servicing, driving the risk and control agenda. Ensuring effective management is in place ensuring the banks risk and control framework is adhered to.
• Lead the proactive risk management agenda, influence and embed the agenda across the function.  
• Support change projects, acting as a central point of contact between the business and strategic change programmes. Ensuring controls by design is embedded from the inception of the change programme.
• Specific oversight of rules and the processes and controls operating to ensure a compliant framework;
• Support engagement with BIA, Compliance and Operational Risk on assurance plans, progress and results for assurance activity impacting the business;
• Support general governance advisory services to business areas.

The role holder will be required to assist with other duties aligned to CCO execution priorities, including but not limited to the Risk and Control Self-Assessment (RCSA) processes, Risk Events and Issues Management, Control Environment & Risk Profile Assessments, and ongoing review of activities against the Barclays Control Framework.

Key Accountabilities

• Drive the proactive risk management agenda across the function, agree the approach and key focus items with the Global Head.
• Team management across a global footprint ensuring that the control partners are delivering on key objectives.
• Provide oversight of the implementation of strategic and regulatory change programmes, ensuring that a control by design mindset is followed by the project on behalf of the function in order that the key requirements are met through effective automated controls. Ensuring manual operational activity is avoided or at best limited as an outcome of the project implementation.
• Understand and be able to assess the impact that strategic/regulatory change and continuous improvement initiatives have upon the control environment – working with stakeholders in the function to ensure risks are fully understood and appropriate mitigating controls in place.  
• Regular and ongoing interaction with BIA, Compliance and Ops Risk colleagues on assurance plans, ensuring these are communicated effectively across impacted areas and acting as a key point of contact and valuable review step within the assurance process for timely escalation of significant issues affecting the control environment.
• Provide robust, effective and insightful reporting, analysis and communication to provide assurance to senior management that the function is compliant with the defined governance framework, with effective escalation of issues as appropriate.
• Take responsibility for own personal and career development, working in a way that is aligned fully to Barclays Values.
• Leadership of planned and ad-hoc business planning activity relating to the role responsibilities.

Essential Skills/Basic Qualifications:

• Operational Process knowledge, ideally in Client Service environment. 
• Risk and control experience including implementation risk & control techniques
• Proven track record to drive and execute change
• Technical Skills / Competencies
• Strong Leadership/People Management skills
• Proven capability to operate across a wide remit
• Strong communication and influencing skills
• Strong analytical, decision making and investigatory skills
• Problem solving and high level of attention to detail

Desirable skills/Preferred Qualifications:

• Risk Management Qualification (e.g. IRM)
• Shaping and influencing management thought leadership
• Ability to interact with all levels across the Bank
• Extensive working knowledge of operational risk and control processes and practices, including experience in their application across functions.
• Good relationship and stakeholder management skills across the organization
• Excellent attention to detail, with an ability to make sound judgements and be comfortable to make suggestions to peers, leadership team and across operational teams.
• Excellent written communications skills needed to supplement reporting commentary and wide range of deck production.