Avp Compliance

hace 2 semanas

Tlahuac, México Barclays A tiempo completo

Product coverage includes investment banking businesses such as fixed income, equities, derivatives, FX and capital markets as well as corporate/institutional banking and research.

Key Accountabilities
- Managing high ethical standards in her/his performance, protecting the reputation of the firm, supporting the analysis of
- courses of action in order to comply with all applicable laws and regulations.
- Work closely with other infrastructure partners (Legal, Internal Audit, Finance, Risk, Financial Crime) to further
- strengthen the control environment.
- Perfom the RINO Monthly review, in compliance with the Broker Dealer Single Circular (Markets Conduct and
- Surveillance).
- Assist in addressing internal and external audits requirements.
- Send Regulatory reports to the Mexican regulators.
- Surveillance and Monitoring - Ensuring compliance with laws, regulations, policies and business’ standards to identify
- potential areas of concern through monitoring and testing program.
- Assist team in ensuring that all conduct, reputational and other regulatory risk issues are escalated promptly.
- Responsible for enhancing the compliance culture within the organisation in a manner consistent with the Barclays’ values.

Stakeholder Management and Leadership

The person in charge of this position shall be an integral part of the Compliance team of Barclays Mexico and shall

shall also have contact with regulators and banking associations.

Decision-making and Problem Solving

The person in charge of this position needs to have analytical good understanding of the local and global regulation in

order to help Barclays ro remain aligned and to be able to foresee potential impacts on Barclays on a preemptive way.

Risk and Control Objective [This section is mandatory for all role profiles and must not be deleted]

Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards.

Person Specification

The person in charge of this position must have experience in areas of control (i.e. Compliance, internal audit, internal control) in a financial entity or within a regulatory agency. Likewise, this position must have a strong knowledge of regulation for banks and broker dealers along with Anti Money Laundering.

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