Suspicious Activity Reporting Oversight Manager Complex Support

Job Description

Purpose of the role

To conduct investigations into various aspects of the bank’s operations and/or conduct of individuals to identify and address potential instances of non-compliance, fraud, misconduct, or other unethical behaviour, that harms or is likely to harm the reputation or financial well-being of the firm or may lead to legal and/or regulatory censure.

Accountabilities

- Identification and evaluation of potential risks associated with non-compliance or unethical conduct and implement risk mitigation strategies.
- Leading the investigations into alleged violations of policies, regulations, or laws.
- Provision of training programs to enhance awareness of compliance issues and ethical conduct among colleagues.
- Documentation of investigation processes and provision of recommendations for corrective actions and improvements based on investigation findings.
- Utilisation of advanced technology and data analytics tools to enhance the efficiency and effectiveness of investigations.
- Utilisation and assessment of relevant internal and external information and intelligence in furtherance of the investigation.
- Where applicable, fulfilment of any necessary external legal and/or regulatory reporting obligations.

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, etc).to 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.

Join us as a Suspicious Activity Reporting Oversight Manager Complex Support where you will provide expert advice, guidance, challenge and Compliance oversight of transaction monitoring investigations and Suspicious Activity Reports (SARs) filed with the UK authorities.  The role holder will be responsible for supporting the Nominated Officer in the discharge of their legal and regulatory accountabilities by ensuring that the appropriate investigative steps and reporting decisions are taken by investigators and that the quality of SAR reporting is consistently maintained.

This will involve working closely with colleagues in Group Financial Crime Operations, Compliance, Fraud, Legal and other Functions as well as the Business, providing expert advice and guidance in relation to transaction monitoring investigations, SAR reporting risks and issues, and training. The role reports to the Nominated Officer and forms part of the broader SAR Oversight team within Financial Crime Threat Mitigation, Compliance Services.

To be successful as Suspicious Activity Reporting Oversight Manager Complex Support, you must meet the following essential criteria:

- Relevant experience in Financial Crime compliance and risk management and, in particular, AML transaction monitoring investigations (including DAML and Correspondent Banking); complex investigations; and related processes and controls.
- Strong understanding of relevant legal and regulatory frameworks with respect to AML and SAR filing requirements, including the Proceeds of Crime Act & Terrorism Act.
- Sound knowledge of Barclays products, markets and delivery channels, in particular with respect to retail, business and corporate banking.
- Excellent judgment in assessing and managing risks with strong communication and stakeholder management skills.
- An immaculate ethical track record with proof of values and behaviours in action, consistent with Barclays stated Purpose and Values

Some other highly valued skills may include:

- Diploma level qualification or equivalent in Financial Crime/AML
- Prior experience as an investigator holding Nominated Officer delegated authority within a large-scale AML transaction monitoring investigations function at a bank and/or working in a Nominated Officer function in a large bank or financial services firm

You may be assessed on key critical skills relevant for success in role, such as risk and controls, change and transformation, business acumen, strategic thinking and digital and technology, as well as job-specific technical skills.

This role is based in Glasgow with 3 anchor days in the office, Monday, Tuesday, and Friday.