Governance and Control Manager at Barclays Bank


  • Company: Barclays Bank
  • Location: Kenya
  • State: Nairobi
  • Job type: Full-Time
  • Job category: Banking Jobs in Kenya
Overall Job Purpose
To implement and embed all applicable Risk and Control frameworks and to clearly articulate, manage and
mitigate Business and Function risk.
Accountability: Governance & Control
 Management are responsible for managing all risks. Governance & Control (G & C)
manager is responsible for assisting management to manage risk.
 Embedment of controls, indicators, RCA, governance and testing and frameworks;
including ORM, Compliance, Fraud, AML, Legal, Group policies etc.
 Working with G & C and business units within WIM, especially around 1st and 2nd
line defence methodologies
 Collaboration with Key Risk Owners (KRO) (e.g. Compliance, Fraud etc.) to ensure
that all key risks are managed.
 Understand the Barclays Enterprise Risk Management Framework (ERMF) and
implementing of all principal and key risks and the risk process of “evaluate, respond
and monitor” as per the ERMF. Understanding the Three lines of defence model and
liaising with all three lines of defence to ensure that a combined assurance model is
 Accountable to ensure that all key risks are adequately controlled across their
business/functions are adequately defined and measured
 Maintain & develop risk framework in line with ever changing control environment
 Maintain a log of all material risks issues that need remediation and track the process
and report and escalate these as necessary.
Accountability: Strategy Development
Weighting: 10%
Outputs to deliver this accountability:
 Participate in the setting of the broader business strategy of the WIM BU to ensure it
is aligned with the overall Governance and Control objectives of the Group.
 Ensure alignment with business units within the WIM and undertake strategic
planning that is mindful of Risk through regular engagement with the businesses.
Accountability: Risk Management
Weighting: 70%
Outputs to deliver this accountability:
 Ensure pro-active management of all functional audit action items, with a view to
ensuring closure by due date and pass Issue Assurance.
 Evaluate all requests for new products or processes or non-standard transactions
prepared in the functional areas.
 Make recommendations to the developers on changes required to ensure adherence
to risk standards and provide formal approval once the adjustments have been made.
 Lead and oversee a Management Assurance (MA) function by creating a team to do
MA testing and support remedial actions identified during the testing of controls in
 Establish a Risk Governance structure for the respective BU that is being supported.
 Prepare submission of the respective WIM BU Risk and Control report for review by
WIM G & C Head
 Support functional areas in the business with tools and templates to capture their risk
data. Ensure that data is checked on consolidated for the business units for review by
WIM G & C Head.
 Ensure that functional areas have adequate information to complete their control
attestations at the required intervals.
 Review risk management information compiled and challenge members of the WIM
BU on the controls they have in place to manage the risk down to within acceptable
 Ensure that all expansion and integration activity within the WIM BU is conducted
according to Absa and Barclays Group minimum standards.
 Implement any and all changes of processes and policies in support of changing
 Compile detailed Risk Dashboard and Control Risk Committee packs.
 Review escalations raised through the Infrastructure business areas, and implement
changes in support of risk control environment
 Manage the FAIS Supervision process and ensure that all registers are fully updated
to reflect the status of staff performing these roles
 Interact with FAIS Governance and ensure that the internal Fit and Proper register is
 Provide reports and assist with queries from stakeholders with regards to allocated
policies, annual and ad-hoc reviews and update of policies and associated procedure
 Co-ordination of Group-wide monitoring and content of audit plans in respect of
allocated policies.
 Maintenance of the allocated Compliance Policies, to ensure their relevance and
applicability at any point in time
 Tracking and monitoring of Barclays Internal Audit (BIA) findings until resolution of
Accountability: Stakeholder Management
Weighting: 20%
Outputs to deliver this accountability:
 Maintain and develop awareness of risk management issues and changes across
relevant WIM business units.
 Agree and manage service offerings and Service Level Agreements with internal &
external stakeholders (agree annually and measure on a monthly basis).
Role / Person
Education and Experience Required
 Proven experience in a Governance & Control function with at least 3 years within a
Bank or blue-chip financial organisation.
Qualifications Required (Essential):
 B degree in Business/Commerce with Auditing /Law/Risk Management/MQF Level 6
Experience Required:
 Proven track record of successful development, implementation or enhancement of
Governance, Risk Management and Control for at least 3 years.
 Experience in dealing with complex and multiple stakeholders
 Exposure to all elements in all risk elements including operational risk management
assurance, fraud and compliance.
 Experience and knowledge in banking, investments and insurance.
Knowledge & Skills: (Maximum of 6)
 Knowledge of Risk Management.
 Knowledge of security and storage.
 Knowledge of financial/banking services.
 Knowledge of Banking Legislation.
 Strategic Financial and Operational business management skills.
 Strong decision making over broad risk spectrum skills.
Essential / Competencies: (Maximum of 8 competencies)
 Commercial thinking.
 Delivering results and meeting customer expectations.
 Relating and networking.
 Persuading and influencing.
 Deciding and initiating action.
Mental &
(RSA Specific)
Special work requirements:  Occasional travel will be required
Most complex decision that can be
taken without referral to the
 Decide on the most appropriate action to
mitigate a risk identified.
Business change accountability:  Implement and embed risk framework as
per Group & International regulatory
Finance/Resource accountability:
Communication and Interaction required:
Staff in own area
(manager, subordinates, colleagues)-To influence and co-ordinate risk
management practises across the WIM estate
Staff outside own area – To manage expectations and engage with
stakeholders regarding inter-dependencies across various functions
Internal customers
(other than staff in own area) -Implement and embed risk management
External Customers [0%]
Regulators/Government Agencies-Compile necessary reporting
obligations with regulators, with oversight from Compliance
Vendors/Suppliers [0%]
(e.g. Industry Forums/Associations) –Represent the business area to
ensure standards are maintained in line with industry norms
Title Name Signature Date
Agreed by Job
Agreed by Line


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