JobTitle : Compliance VP
Corporate Grade : Vice President
Reports to (Line Manager’s Job Title) : Director of ComplianceMexico
Direct Reports (if applicable) : 2
Business Area : Compliance Mexico
Department / Function Level 1 : COO & Functions
Department / FunctionLevel 2 : Compliance
Primary Location : Mexico
Barclaysis a transatlantic consumer, corporate and investment bank offering productsand services across personal, corporate and investment banking, credit cardsand wealth management, with a strong presence in our two home markets of the UKand the US.
Our goal is to become the bank of choice by providing superiorservices to customers and clients and supporting our stakeholders via acommercially successful business that generates long-term sustainable returns.
Ourtwo clearly defined divisions, Barclays UK and Barclays International, providediversification by business line, geography and customer, enhancing financialresilience and helping to contribute to the delivery of consistent returnsthrough the business cycle.
We have a strong core business with excitingprospects, well positioned to deliver long-term value for our shareholders.
Consistentwith the objective of delivering long-term sustainable value for all ourstakeholders, we have developed our Shared Growth Ambition our approach tocitizenship and the sustainability of the business model we operate.
The aim isto make decisions and do business that provides our clients and customers, andthe communities which we serve, with access to a prosperous future.
Thedelivery of our strategy is underpinned by the energy, commitment and passionof our people, and we are clear on our common purpose : to help people achievetheir ambitions, in the right way.
About Compliance Mexico
Compliance acts as the second lineof defense taking care about the reputation of the firm. Compliance conducts alot of activities like : FinCrime, liaison with regulators, advisor for localregulation and local and global policies related to Compliance.
Complianceworks closely with all the organization in order to be aligned to globalBarclays standards and regulatory framework.
Compliance also works closely withSME s based in NY and London in order to receive support, advice and training.
Overall purpose of role
Candidatewill support the Compliance Director for advising business on transactionalissues, regulatory requirements, including AMLand monitoring markets to ensurecompliance with Barclays internal policies and industry rules and regulationsand will provide an independent control function.
Productcoverage includes investment banking businesses such as fixed income, equities,derivatives, FX and capital markets as well as corporate / institutional banking.
Interface with business and infrastructure heads on product development andvarious transactional issues.
Candidatewill be expected to supporting the compliance function in the local market andto coordinate and work closely with the Head of Compliance based in México,including the management of regulatory audits and exams and responding tovarious regulatory inquiries in local market.
Developand implement local and global Compliance policies and procedures forbusinesses covered.
Provideperiodic training on relevant compliance matters and developments. Educate thebusiness, including via bulletins, on applicable regulations, laws andBarclays’ policies and procedures.
Being another (back) point of contact for localregulators.
Stakeholder Management andLeadership
The person in charge of this position needs tohave with leadership and excellent communications skills (oral and written) inorder to have productive interactions with all the areas of the bank and theBroker Dealer in Mexico and with the SME s in NY and London .
In absence of theDirector of Compliance this position will be responsible before the Countrymanager and the CAO.
Decision-making and Problem Solving
The person in charge of this position needs tohave analytical skills and good understanding of the local and globalregulation in order to help Barclays ro remain aligned and to be able toforesee potential impacts on Barclays on a preemptive way.
This person muste becreative in order to solve complex problems and to enhance existing systems orprocesses owned by Compliance.
Risk and ControlObjective
Ensure that all activities and duties are carried out in fullcompliance with regulatory requirements, Enterprise Wide Risk ManagementFramework and internal Barclays Policies and Policy Standards
Theperson in charge of this position must have a solid experience in areas ofcontrol (i.e. Compliance, internal audit, internal control) in a financialentity or within a regulatory agency.
Likewise, this position must have astrong knowledge of regulation for banks and broker dealers along with AntiMoney Laundering (AML certification granted by the CNBV is desirable).
Essential Skills / BasicQualifications :
Both English and Spanish
Purpose and Values
Barclays has a single cross-business Purpose for Barclays andfive core Values which underpin it.
Our Purpose is helping people achieve their ambitions in theright way. Put simply this is the answer to the question What is Barclaysfor?
and it should guide our every action as employees.
Werespect and value those we work with, and the contribution that they make.
Weact fairly, ethically and openly in all we do.
Weput our clients and customers at the centre of what we do.
Weuse our energy, skills and resources to deliver the best, sustainable results.
Weare passionate about leaving things better than we found them.