Regulated Supervisor

Join us as a Regulated Supervisor in our Private Banking team based in London.

As a Barclays Regulated Supervisor you will take on the responsibility for the regulated supervision & development of advisors, leading key initiatives & providing SME expertise to support the business. You will instil a strong risk and controls culture within the team, ensuring sales and suitability standards are met at all times and that client interactions are appropriate and reflected in high quality record-keeping and observations.

Essential skills needed for the role:

• RDR level 4 qualification
• Strong risk and control background
• First-class written and oral communication skills – must be able to communicate clearly and credibly with senior stakeholders

Desirable skills needed for the role:

• Supervisory experience
• Risk management background

You may be assessed on the 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 deemed as a Certified role under the PRA & UK Financial Conduct Authority - Individual Accountabilities Regulations and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Purpose of the role

Focus on the supervision, coaching and development of Private Bankers; pre and post achieving investment advisory competence, aligned with investment sales and suitability framework in the Private Bank, leading key initiatives and providing SME expertise to support the business.

Accountabilities

• Supervision of regulated private bankers, including coaching and developing pre and post achieving investment advisory competence, regulated supervision, 121s, observations, coaching and feedback, supporting process evolution and data analysis, escalating risks and issues as required.
• Accountable for embedding risk and control culture as well as the output of private bankers outside of your direct leadership. Driving a client-centric culture by ensuring the team consistently delivers an exceptional client experience and ensuring sales and suitability standards are met at all times and that client interactions are appropriate and reflected in high quality record-keeping and observations.
• Work alongside Market and Segment Heads to maintain up-to-date functional knowledge, and insight into external market developments. Work in partnership with stakeholders to deliver the business strategy through supervision
• Oversees the implementation of the sales & suitability framework in partnership with the team leader. Leading co-ordination between functions to ensure efficient and effective delivery of required services to the banker and clients, escalating to the Team Leader where relevant.
• Ensure bankers are in compliance with Barclays’ policy and standards of client service, regulatory and compliance requirements, internal control and risk management frameworks, front-office procedures, AML/KYC requirements, product delivery and operating model.
• Faces off to Private Bank and Wealth Management Team leaders, Private Bankers and a range of stakeholders and business partners (Platform, Service Delivery, Operations, Risk, and Proposition teams) on behalf of the teams at relevant Business Forums including Operations, Change, Risk & Governance.
• Live supervisions with financially sophisticated clients, including instances of needing to intervene and support the Private Banker to get the client meetings back on track, in line with the Client Advisory Framework (CAF), Barclays Values and aligned to Consumer Duty Principles.
• Assimilates complex client information, investment analysis, regulatory frameworks and bank’s internal guidelines in order to confirm the work of bankers being supervised and the solution being proposed is appropriate

Vice President Expectations

• To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures..
• If managing a team, they define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements..
• 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 be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment.
• Manage and mitigate risks through assessment, in support of the control and governance agenda.
• Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does.
• Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies.
• Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.
• Adopt and include the outcomes of extensive research in problem solving processes.
• Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills 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.