Assurance Specialist - AVP

Barclays•New York, NY

8d•$110,000 - $135,000

About The Position

Join us as an Assurance Specialist - AVP, where you will support the delivery of assurance activities across the bank’s Compliance Risk Management framework. You will help assess the effectiveness of regulatory controls through structured monitoring, testing, and regulatory review activities. In this role, you will collaborate with stakeholders across business and compliance teams to plan testing, evaluate control environments, and communicate findings. You will also contribute to reporting, issue tracking, and continuous improvement of assurance processes that strengthen the bank’s regulatory and risk management framework.

Requirements

Experience in compliance assurance, monitoring and testing, or regulatory review within financial services
Understanding of compliance risk management frameworks and control environments
Ability to plan and execute testing programs and document findings clearly
Stakeholder management and communication skills when working with business and compliance partners
Experience preparing assurance reports, summaries of findings, and issue tracking documentation
Higher education or equivalent professional experience

Nice To Haves

CPA or relevant compliance certification is advantageous

Responsibilities

Development and refresh of the Compliance Assurance Annual Plan, ensuring that the Annual Plan focuses on areas of highest risk and value in relation to Compliance Risk.
Delivery of risk-based assurance activity to validate the effectiveness of controls and processes designed to mitigate Compliance Risk.
Identification of potential risks associated with non-compliance or control weaknesses in relation to Compliance Risk.
Verbal and written communication of Compliance Assurance reports and issues to enhance the effectiveness of Compliance Risk management and oversight.
Build, development and maintenance of effective relationships between Compliance Assurance and stakeholders across the three lines of defence.
Proactive adoption of Data Analytics capabilities to increase the efficiency, effectiveness and coverage of Assurance work.
Continued focus on the Barclays Mindset and Consistently Excellent to enhance the Assurance that we deliver, how it is delivered and the culture within the bank.
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
Lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments.
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.
Influence or convince stakeholders to achieve outcomes.