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Credit and Securitised Products Business Oversight Compliance

London, United Kingdom

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Date live: 12/12/2024

Business Area: Compliance

Area of Expertise: Compliance

Contract: Permanent

Reference Code: JR-0000024423

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Barclays Compliance

Compliance is a broad, multidisciplinary function at Barclays that oversees our global business operations. We ensure the bank lives its values, meets regulatory requirements, and follows our codes of conduct. Compliance helps manage financial affairs safely, prevents crime, and eliminates bad practices, acting as guardians for customers, colleagues, assets, shareholders, and reputation. This vital, challenging, and rewarding role protects customers, defends our reputation, and defines our business practices. Without Compliance, Barclays could not operate.

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Join us as a Credit and Securitised Products Business Oversight Compliance VP, where you'll be responsible for providing day-to-day Compliance oversight and advice to the Credit and Securitised Products businesses within Barclays’ Investment Bank. The role will involve working closely with colleagues across Markets Compliance, the front office and various infrastructure areas.

The Credit business is responsible for Barclays’ secondary market-making activities in corporate bonds, single name CDS, CDS indices and options and secondary loans across the investment grade, high yield, special situations and emerging markets sectors. The Credit business also provides financing and structuring solutions.

To be successful as a Credit and Securitised Products Business Oversight Compliance, you should have:

  • Strong track record of performance in an Advisory Compliance role within a global investment bank

  • Thorough understanding of Credit and/or Securitised Products (corporate bonds, CDS, loans, financing and structured solutions) and how the market operates, with relevant work experience

  • Strong understanding of the role of a Compliance function, risk frameworks and risk ownership in a global financial institution

  • Excellent knowledge of key relevant regulatory global regulations and industry guidelines

  • Highly motivated with a proactive attitude, driven to provide consistently excellent service and outcomes

Other highly valued skills include:

  • Effective management of a diversed book of work with varying priorities and deadlines in a fast paced environment with good attention to details, takes accountability for own and team deliverables

  • Good business judgment, integrity, commercial awareness and problem solving skills, ability to check and challenge, influence behaviours, particularly in challenging situations, know when to escalate

  • Ability to identify potential conduct issues and to develop strategies to mitigate risk

  • Strong team player with strong verbal and written communication skills who can also work independently

You may be assessed on key critical skills relevant for success in the role, such as risk and controls, change and transformation, business acumen, strategic thinking and digital and technology, as well as job-specific technical skills

Key Accountabilities

  • Work as part of an integrated Global Compliance team to drive transmission of Compliance policy, procedures and practice into the business and support businesses development of effective control frameworks and a strong compliance culture;
  • Real-time and responsive advice to the business and other infrastructure functions on matters arising day-to-day, as well as assisting and overseeing junior members in the team to perform these tasks, for example: review of transactions including those that pose conduct and reputational risk, trading and sales queries relating to market impact / restructuring, potential conflicts of interest, review of wall crossing requests, non-market price transactions, client complaints, preparing meeting packs and lead briefings for senior business and Compliance managers.
  • Proactively engage with colleagues across the Compliance function and coordinate globally to ensure consistency of compliance advice and coverage according to the Compliance Target Operating Model;
  • Contribute to relevant business and/or cross-departmental Compliance projects and participate in and working groups as required, including regulatory change initiatives, aiming to achieve forward-thinking solutions to changing regulatory requirements;
  • Represent Compliance in various governance fora and controls review meetings, proactively participate in discussions and check and challenge to assist the business to operate a robust controls framework;
  • Identify and assess potential breaches of Compliance policies, e.g. investigating surveillance alerts, detective controls reports, and/or business escalations, as well as assisting and overseeing junior team members performing such tasks; ensure breaches and remedial actions are formally logged and tracked and used as a tool to drive cultural change within the business;
  • Conduct high quality Compliance Verification Checks in a comprehensive, accurate and timely manner, ensuring all reporting and recording standards are met and follow-up actions are completed;
  • Assist with regulatory and internal audits and respond to regulatory and exchange enquiries; advising the business and Internal Audit on Compliance view on issues identified, opining on remedial action plans;
  • Leading reviews of new products and services (NAPA) and other processes involving Compliance, e.g. Conflict of Interest registers refresh, product governance related reviews, industry codes related reviews, etc.;
  • Taking a lead role in the successful delivery of the annual training plan, leading development and delivery of bespoke Compliance training, including identifying requirements, which may arise from, for example, a control gap being identified, changing regulation rules or other issues or lessons learned.

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.

Barclays welcomes applications from all candidates and is committed to ensuring reasonable adjustments (accommodations) are put in place to allow for a fair and inclusive recruitment process. For more information and how to request one, please review Adjustments to the recruitment process.

We’re a global, vital and highly respected financial organisation with an inspiring Purpose. Operating in 39 countries and employing around 100,000 people across the world, we help communities, individuals and businesses thrive. And we’ve created financial solutions and technology that the world now takes for granted. A career with us can offer incredible variety, depth and breadth of experience, and the chance to learn from some of the best minds in technology and finance.

To find out more about Barclays' strategy please click here.

Barclays offers a diverse, inclusive and engaged culture. A place where people can bring their whole selves to work and be respected for who they are, valued for what they do and celebrated for their contribution to our business and our community.

We are an equal opportunity employer and opposed to discrimination on any grounds. It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.

Barclays is required by law to confirm that you have the Legal Right to Work in any role that you apply for. If you currently hold a work visa sponsored by Barclays, or you would require sponsorship from Barclays, you must declare this as part of your application. Sponsored visas are role and entity specific and any changes must be reviewed. It is important that you ensure you are working on the correct visa at all times. Failure to accurately disclose your visa status or Legal Right to Work may result in your application or any employment offer being withdrawn at any time.

This is Barclays London

Our global HQ is in Canary Wharf, at the heart of London’s financial district. There are over 10,000 colleagues here – a hugely diverse workforce made up of the world’s best financial and tech talent. If you love the buzz of city life, this is the place to be.

Cycle or run to work? We’ve got everything you need – from cycle hire and parking areas to new showering and changing facilities.

CoSpace is our drop-in co-working space, where networks are built, problems are solved collectively and our community is strengthened.

Our Wellness Suite includes a well-equipped gym and exercise studios, and provides personal training sessions and massage therapy.

Our new trading floors enhance communication, integrate sustainability, and support health and wellbeing through innovative design and British-sourced furniture.

This is Barclays London

Our global HQ is in Canary Wharf, at the heart of London’s financial district. There are over 10,000 colleagues here – a hugely diverse workforce made up of the world’s best financial and tech talent. If you love the buzz of city life, this is the place to be.

Supporting active commuters

Cycle or run to work? We’ve got everything you need – from cycle hire and parking areas to new showering and changing facilities.

Time to connect

CoSpace is our drop-in co-working space, where networks are built, problems are solved collectively and our community is strengthened.

Wellbeing in focus

Our Wellness Suite includes a well-equipped gym and exercise studios, and provides personal training sessions and massage therapy.

Advanced trading floors

Our new trading floors enhance communication, integrate sustainability, and support health and wellbeing through innovative design and British-sourced furniture.

Be you. Be valued. Belong.

We celebrate the unique perspectives and experiences each individual brings, believing our differences make us stronger and drive success. Our colleague networks offer connection, support, and growth, while our "This is Me" series shares the unique stories of our colleagues. Committed to diversity, equity, and inclusion, Barclays values you for who you are and ensures you truly belong.

You can learn more about our commitment to our colleague on our DE&I page.  

Learn more

Application Process

Your application

We’ll ask for information about you, your CV and cover letter.

1

Your assessment

Covering your behaviours and ability at work.

2

Your interview

Exploring your past experiences and skills.

3

Next step

We’ll request additional information so that you can complete our screening process

4
How to ApplyRead our FAQ's
Barclays

Working flexibly

We’re committed to providing an inclusive culture and environment, that recognises and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees globally to work flexibly empowers each of us to work in a way that suits our lives, as well as enabling us to better service our customers’ and clients’ needs.

Our approach to working flexibly is designed to support you to balance your life and to accommodate diverse needs, whilst still allowing us to meet our business needs. If you’d like to request a flexible working arrangement, please discuss this with your hiring manager.

Hybrid working: Our approach to hybrid working ensures there’s the right balance of working alongside colleagues at our onsite locations, as required for each role. For business areas that offer a hybrid working experience, this will be in a structured way, where colleagues work at an onsite location on fixed, ‘anchor’, days of the week. Some roles may require full onsite working. Please discuss the working pattern requirements for the role you are applying for with the hiring manager.

We continue to embed and review our hybrid working environment and remain in a phase of testing and learning. This means that working arrangements could change, with reasonable notice, to align with the needs of our business.

Barclays is built on an international scale.

Our geographic reach, our wide variety of functions, businesses, roles and locations reflect the rich diversity of our worldwide customer base. All of which means we offer incredible variety, depth and breadth of experience.
And the chance to learn from a globally diverse mix of colleagues, including some of the very best minds in banking, finance, technology and business. Throughout, we’ll encourage you to embrace mobility, exploring every part of our operations as you build your career.

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