Compliance Officer – AVP
As a Compliance Officer at Barclays, you will play a crucial role in ensuring that our organization operates in accordance with all relevant laws, regulations, and internal policies. As an Assistant Vice President in this role, you will be responsible for proactively identifying and addressing potential compliance risks, as well as developing and implementing effective compliance programs. We are seeking a highly motivated and detail-oriented individual with a strong understanding of the financial industry and a passion for upholding ethical standards. If you have a keen eye for detail, excellent communication skills, and a drive to continuously improve processes, we invite you to join our dynamic and dedicated team at Barclays.
- Develop and implement policies and procedures to ensure compliance with all relevant laws, regulations, and internal policies.
- Monitor and assess the organization's compliance with regulatory requirements and internal policies.
- Conduct regular risk assessments to identify potential compliance risks and develop strategies to mitigate them.
- Collaborate with various departments and business units to ensure compliance standards are met and maintained.
- Stay up-to-date with regulatory changes and industry trends to ensure the organization's compliance programs are current and effective.
- Provide guidance and training to employees on compliance-related matters.
- Investigate and report any compliance issues or violations, and make recommendations for corrective action.
- Monitor and review suspicious activities to identify potential compliance breaches.
- Develop and maintain relationships with regulatory bodies and external auditors to ensure a smooth compliance process.
- Prepare and submit compliance reports to senior management and relevant authorities.
- Develop and implement a compliance communication plan to promote ethical behavior and foster a culture of compliance within the organization.
- Monitor the organization's adherence to ethical standards and escalate any non-compliance issues to senior management.
- Collaborate with other risk management functions to identify potential risks and develop strategies to mitigate them.
- Conduct internal audits to assess compliance and make recommendations for improvements.
- Continuously review and enhance the compliance program to ensure its effectiveness and alignment with industry best practices.
Relevant Education And Certifications: A Compliance Officer – Avp At Barclays Should Possess A Bachelor's Or Master's Degree In A Related Field Such As Finance, Law, Or Business Administration. Additionally, Having Relevant Certifications Such As Certified Regulatory Compliance Manager (Crcm) Or Certified Anti-Money Laundering Specialist (Cams) Would Be Preferred.
Knowledge Of Regulations And Laws: The Candidate Should Have A Thorough Understanding Of Financial Regulations And Laws, Both At A National And International Level. This Includes Knowledge Of Regulatory Bodies Such As The Sec, Finra, And Cftc.
Previous Experience: A Minimum Of 5-7 Years Of Experience In Compliance Or A Related Field Is Typically Required For An Avp Level Position. This Experience Should Include Working In A Financial Institution And Dealing With Regulatory Compliance.
Analytical And Problem-Solving Skills: A Compliance Officer – Avp Should Have Strong Analytical Skills To Identify Potential Compliance Issues And Find Solutions To Mitigate Risks. They Should Also Be Able To Interpret Complex Regulations And Apply Them To The Organization's Operations.
Attention To Detail And Communication Skills: Compliance Officers Need To Be Detail-Oriented And Have Excellent Communication Skills To Effectively Communicate With Stakeholders At All Levels. This Includes Preparing Reports, Conducting Presentations, And Providing Training On Compliance Matters. Strong Written And Verbal Skills Are Essential For This Role.
Data Analysis
Conflict Resolution
Internal controls
Risk assessment
Policy Development
Compliance monitoring
Investigation Skills
Regulatory Knowledge
Audit Preparation
Training And Education
Reporting And Metrics
Communication
Conflict Resolution
Emotional Intelligence
Leadership
Time management
creativity
Critical thinking
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Compliance Officer – AVP in Wilmington, NC, USA is between $90,000 and $120,000 per year. This range can vary based on factors such as experience, qualifications, industry, and company size. Some individuals in this role may earn higher salaries, depending on their specific responsibilities and performance.
Apply with Video Cover Letter Add a warm greeting to your application and stand out!
Barclays plc is a British multinational investment bank and financial services company, headquartered in London. Apart from investment banking, Barclays is organised into four core businesses: personal banking, corporate banking, wealth management, and investment management.
Get interviewed today!
JobzMall is the world‘ s largest video talent marketplace.It‘s ultrafast, fun, and human.
Get Started