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Governance & Control Senior Manager - VP

senior · Risk & Compliance

Job Description

Purpose of the role

To provide support to the Chief Risk Officer(S) in the implementation and ongoing effectiveness of the bank's risk management framework across various business units and functions.

Accountabilities

• Implementation support of risk management policies, standards, procedures, and controls across the bank.
• Asessment and promotion of risk management awareness and risk controls and culture.
• Review, challenge and monitoring of the effectiveness of existing risk management practices and identifying areas for improvement.
• Identification of new and emerging risks, and assessing the likelihood and impact of identified risks, and recommending appropriate mitigation strategies.
• Management and operation of associated committees, forum and meetings.
• Maintenance of risk inventories and governance documentation.

Vice President Expectations

• To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures..
• If managing a team, they define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements..
• 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 be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• 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.
• Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.
• 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. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.
• Adopt and include the outcomes of extensive research in problem solving processes.
• Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills 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.

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You may be assessed on the key critical skills relevant for success in role, such as experience with Governance & Control Senior Manager - VP, as well as job-specific skillsets.

To be successful as a "Governance & Control Senior Manager - VP", you should have experience with:

Overall purpose of role

A senior member of the Governance & Control team responsible for leading and managing a team to deliver robust Quality Assurance, governance and control oversight across CDD, EDD and broader financial crime prevention activity within the UKC Financial Crime Execution (FCE) Team. The role is accountable for ensuring effective prioritisation, delivery quality, stakeholder engagement and timely escalation of material risks, themes and control deficiencies. This includes working pragmatically with colleagues across the team to:

• Lead, coach and develop team members, ensuring clear objectives, effective workload allocation, timely feedback and consistent delivery standards.

• Proactively identify, evaluate and drive implementation of enhancements to the controls framework that further optimise the balance between efficiency, effectiveness and control.

• Oversee effective resolution of identified risk and rigour deficiencies across all portfolios, ensuring material matters are escalated with clear recommendations and ownership.

• Drive risk awareness, “Right First Time” performance and continuous improvement across FCE through insight-led assurance, coaching and stakeholder engagement.

• Maintain and enhance a robust quality assurance testing framework and provide senior support for ORACs, Issues, Audits and regulatory or assurance activity as required.

Key Accountabilities:

Team Management, Quality Assurance and Governance Oversight (c.80%) – including but not limited to:

• Direct line management, including performance management, objective setting, coaching, development, capacity planning and prioritisation of work across the team.

• Accountable for ensuring QA outputs are delivered to expected standards, within agreed timeframes and with clear evidence of challenge, judgement and escalation where required.

• Provide senior review, challenge and sign-off over complex or sensitive QA outcomes, thematic findings and management responses.

• QA over High-risk forums.

• Financial Crime (FC) Exits.

• Politically Exposed Persons (PEP) Checks (including Global PEP Register accuracy).

• PEP Alerts.

• AML Watchlist Alerts.

• RAU Risk Assessments.

• Client Monies QA.

• RAU Sampling (Business Activity Reviews (BARs) – Nature of Business / Source of Funds (NoB/SoF)).

• Financial Institutions QA of QC checklist.

• CBRF / FMRF PSR104/105 – Refusals.

• Forum Admin / Forum Secretariat QA.

• Suspicious Activity Reports (SARs) and Post Office SARs.

• Investigations and Cash (Intensive) 650 Investigations.

• Court Order investigations.

Senior Stakeholder, Control and Change Responsibilities (c.20%):

• Own and oversee MI, KRIs and reporting relating to QA delivery, themes, control performance and risk outcomes, ensuring insights are suitable for senior management review.

• Ensure QA procedures, operating standards and control documentation are regularly reviewed, updated, approved and embedded across the team.

• Set clear priorities for the team, manage competing deadlines and ensure resources are deployed effectively to meet business, audit and control requirements.

• Represent the Governance & Control team in senior stakeholder discussions, providing clear insight, constructive challenge and balanced recommendations on risk and control matters.

• Work in partnership with relevant external teams such as Financial Crime (in the 2nd Line of Defense – 2LoD) Compliance Assurance, Records Management, etc.

• Ensure 1st class Records Management and Auditability of files.

• Lead analysis of QA outcomes to identify behavioral, procedural and control enhancements, agree mitigating actions with senior stakeholders and track delivery to closure.

• Provide senior leadership and control input into strategic projects, change activity and remediation plans to ensure financial crime risks, controls and QA considerations are appropriately embedded.

• Co-ordinate and deliver training or coaching as required, e.g. where QA expectations change.

• Produce and present MI, thematic analysis and control insights for senior governance forums, including input to the Head of Financial Crime Execution performance pack.

• Supporting the wider FCE Team, as required.

Stakeholder Management and Leadership:

• Provide visible leadership, setting direction, supporting development, reinforcing accountability and creating an inclusive, high-performing team environment

• Engage confidently with senior stakeholders across Corporate Coverage, FCE, Financial Crime 2LoD, Audit, KYC Operations, Change and wider control functions, ensuring issues are communicated with clarity, judgement and appropriate escalation

Decision-making and Problem Solving:

• Apply sound judgement to complex QA outcomes, control weaknesses and stakeholder challenges, balancing policy requirements, risk appetite, operational impact and customer/client considerations.

• Make timely decisions on prioritization, escalation and recommended remediation, ensuring material issues are supported by clear rationale, evidence and ownership.

• Use initiative and leadership experience to simplify, strengthen and mature control processes across the team.

Risk and Control Objective:

• Take ownership for managing risk and strengthening controls in relation to the work undertaken by the team, ensuring that control issues, quality themes and remediation actions are identified, escalated and managed effectively.

Person Specification:

• Proven people management capability, including coaching, performance management, delegation and development of high-performing teams.

• Exceptional attention to detail and precision, particularly in reviewing assurance outcomes, management information and senior stakeholder reporting.

• Highly organized, with ability to manage multiple priorities, direct team capacity and maintain delivery against competing senior stakeholder expectations.

• Strong leadership presence, with ability to collaborate effectively, influence senior stakeholders and support a culture of accountability, constructive challenge and continuous improvement.

Essential Skills/Basic Qualifications:

• Previous experience of Quality Control / Assurance, including oversight of assurance outputs, thematic analysis and remediation tracking.

• Strong knowledge of Financial Crime, KYC / CDD / EDD and AML control requirements, tools and practices, with ability to provide senior review and challenge.

• Experience managing, coaching or supervising colleagues within a control, assurance, financial crime, risk or governance environment.

• Ability to exercise pragmatism, sound judgement and senior-level challenge within the boundaries of policies, procedures and risk appetite.

• Strong Document management skills.

Desirable skills/Preferred Qualifications:

• An understanding of Financial Crime Exits & Politically Exposed Persons (PEPs).

• A good understanding of the Corporate Banking business and the various Client types.

• Good grasp of Microsoft Excel.

• Relevant AML/CTF or ABC qualifications i.e. ICA or ACAMs.

This role will be based out of Gurugram.