Mike Howell Email & Phone Number

Manchester, England, United Kingdom

BX Business Oversight Compliance provides compliance oversight to BX business functions, with my remit specifically covering the Procurement and Corporate Real Estate Services (CRES) functions. This includes the oversight of the management of conduct risk by the functions and providing guidance, support and tailored feedback on regulatory issues to ensure that new proposals as well as existing processes, systems and controls comply with regulatory obligations and Barclays own Policies and… Show more BX Business Oversight Compliance provides compliance oversight to BX business functions, with my remit specifically covering the Procurement and Corporate Real Estate Services (CRES) functions. This includes the oversight of the management of conduct risk by the functions and providing guidance, support and tailored feedback on regulatory issues to ensure that new proposals as well as existing processes, systems and controls comply with regulatory obligations and Barclays own Policies and Standards.Key responsibilities• Oversight of Compliance and Conduct considerations within the Procurement business processes, includes review of supplier onboarding and renewal activity to ensure that matters pertaining to relevant regulatory and conduct risk considerations are assessed correctly, such as correctly classifying services as outsourcing.• Employee conduct oversight for Procurement and CRES colleagues.• Compliance Second Line of Defence (2LOD) oversight activities pertaining to internal risk management and assessment activities.• Subject matter expert (SME) support to Procurement and CRES colleagues on matters such as Conflicts of Interest and outsourcing considerations.• Oversight of service change to ensure that internal outsourcing activities remain within the perimeter of the Appointed Representative regime.• Proactively review and enhance Compliance processes and procedures and develop innovative ways to improve the service provided by Compliance. Key achievement/projects• Studying for ICA International Advanced Certificate in Business Compliance, due to complete February 2024.• Enacted Standard and process changes and review to mitigate identified risk of non-permanent employees not being to internal conduct control requirements.• Developed and enhanced Compliance engagement with matters relating to the Appointed Representative regime to enable demonstrable 2LOD oversight. Show less

Manchester, England, United Kingdom

The primary purpose of the Technical Compliance role is to act as a bastion for the department and supporting i) the delivery of a new operating model into Barclays UK Compliance, embedding and supporting the delivery of a new way of working and culture into the organisation, to increase a more effective and productive approach to the management of Conduct Risk and ii) embedding and supporting an effective approach to functional and management process governance within BUK Compliance… Show more The primary purpose of the Technical Compliance role is to act as a bastion for the department and supporting i) the delivery of a new operating model into Barclays UK Compliance, embedding and supporting the delivery of a new way of working and culture into the organisation, to increase a more effective and productive approach to the management of Conduct Risk and ii) embedding and supporting an effective approach to functional and management process governance within BUK Compliance, including; the coordinated and appropriate delivery of the BUK Chief Compliance Officer’s (CCO’s) Reasonable Steps, the supporting interface for services provided by BX Compliance and where required, participation in and secretariat services for key Governance meetings within BUK Compliance to ensure meetings are effective and resulting action closure is effectively coordinated. Key responsibilities• Co-ordination of Compliance/2LOD activity within internal risk assessment activities for Conduct and Reputation risks aligned to BUK business units.• Development of quarterly Forward Looking Risk reporting within BUK Compliance.• Management of attestations required of the BUK Chief Compliance Officer, ensuring information is correct and appropriate governance is followed.• Reviewing materiality assessments and if regulatory notification is applicable for changes to intra-group agreements affecting BUK.• Co-ordinating effective check and challenge activity by BUK Business Oversight Compliance on quarterly Conduct and Reputation Risk Reporting.Key achievement/projects• Review of how Compliance discharge their duties with respect to the Reputation Risk Management Framework and formulating subsequent enhancement plan. • Design and introduction of Risk Event review process, ensuring BUK Business Oversight Compliance are meeting requirements to internal standard control requirements. Show less

Manchester

My role within the Chief Control Office (CCO) Conduct team was to ensure that Conduct risks within the BUK business units are being effectively monitored and that this is reflected in Conduct Risk reporting submissions. This is achieved by engaging with stakeholders to communicate how these metrics are operating and how they deliver against the Conduct Risk Management Framework and associated standards. My role has evolved to lead the internal risk assessment process requirements aligning to… Show more My role within the Chief Control Office (CCO) Conduct team was to ensure that Conduct risks within the BUK business units are being effectively monitored and that this is reflected in Conduct Risk reporting submissions. This is achieved by engaging with stakeholders to communicate how these metrics are operating and how they deliver against the Conduct Risk Management Framework and associated standards. My role has evolved to lead the internal risk assessment process requirements aligning to the Channels business which includes liaising with all key stakeholders across Channels to ensure risk assessment activity is completed as per expectations and in a timely manner.Key responsibilities• Providing subject matter support and guidance to business unit, and CCO Direct Business Partner colleagues.• Reformatting of reports, where considered required, to ensure the information within is succinct, appropriate and relevant to the intended audience.• Engage with 2nd Line stakeholders to ensure consistency of message regarding conduct risk between the 1st and 2nd lines of defence.• Ad hoc analysis of conduct MI to identify trends and areas of focus that should be considered for further investigation. • Performance of gap analysis for reporting formats against standards to ensure mandatory information is included and standardised methodology applied for metrics monitoring conduct risks.• Assist in closing down issues identified by 2nd or 3rd line colleagues during review and testing exercises where required.• Participation and engagement with Group wide working groups.• Completion of quarterly internal control environment submissions across BUK.Key achievement/projects• Development of BUK wide Conduct Risk reporting template and business unit specific information. • Development of KI data register to assist with closure of Internal Audit finding to ensure business units had reliable data lineage. Show less

Manchester, Greater Manchester, United Kingdom

End to end delivery of designated reviews across BUK business units and functions, providing 2nd Line assurance, focussing on conduct outcomes and regulatory adherence.Key responsibilities• Contribute to Compliance M&T annual plan through delivery of designated reviews and through assistance to colleagues reviews as required.• Initiate and develop relationships with key stakeholders across the business units and within Compliance. • Designated member of M&T Data Testing team… Show more End to end delivery of designated reviews across BUK business units and functions, providing 2nd Line assurance, focussing on conduct outcomes and regulatory adherence.Key responsibilities• Contribute to Compliance M&T annual plan through delivery of designated reviews and through assistance to colleagues reviews as required.• Initiate and develop relationships with key stakeholders across the business units and within Compliance. • Designated member of M&T Data Testing team (pilot scheme) providing data analytics for M&T colleagues through MI production and analysis using BIW/Teradata, SQL, Access and Excel.• Ensuring effective communication of conduct and customer outcomes focus to the business units through relationship building and effective report presentation.• Continual learning and application of key regulatory considerations, including key FCA sourcebooks and applicable legislation.• Ongoing development and commitment to learning to both regulatory and business structural change.Key achievement/projects• Reviews published included (i) Mortgage Insurance Distribution, (ii) Thematic Review of the Consumer Credit Sourcebook (CONC) Communication and Disclosure Requirements and (iii) Adherence to the Payment Services Regulations and Banking: Conduct of Business Sourcebook (BCOBS).• Participation in Barclays Compliance Career Academy ran by Cambridge University, Judge Business School. Show less