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Americas Chief Compliance Office AVP

New York, New York

Date live: Jun. 12, 2024

Business Area: COO & Functions

Area of Expertise: Compliance

Reference Code: 90391028

Contract: Permanent

Salary / Rate USD 115000 to 145000

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Americas Chief Compliance Office Assistant Vice President
New York, NY

As a Barclays Americas Chief Compliance Office Assistant Vice President, you will be accountable for assisting the Director and working closely alongside other team members in helping the Americas Chief Compliance Officer (COO), in particular with respect to developing high quality management information (MI) and insights to monitoring of the firm’s adherence with laws, rules, and regulations (LRRs) of which Compliance provides second line oversight and associated special projects.

Salary/ Rate Minimum: $115,000
Salary/ Rate Maximum: $145,000

The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any another type of compensation or benefits that may be available.

Barclays is one of the world's largest and most respected financial institutions, established in 1690, with a legacy of success, quality, and innovation. We've helped millions of individuals and businesses thrive, creating financial and digital solutions that the world now takes for granted. An important and growing presence in the USA, we offer careers providing endless opportunity.

At Barclays, we offer a hybrid working experience that blends the positives of working alongside colleagues at our onsite locations, together with working from home. We have a structured approach where colleagues work at an onsite location on fixed, ‘anchor’, days of the week, for a minimum of two days a week or more, as set by the business area (or nearest equivalent if working part-time hours). Please discuss the working pattern requirements for the role you are applying for with the hiring manager. Please note that as we continue to embed our hybrid working environment, we remain in a test and learn phase, which means that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business.

What will you be doing?

• Supporting an effective approach to governance and oversight within Americas Compliance including through the development of quality MI relating to monitoring with relevant LRRs
• Working with stakeholders across the broader function to assist with the embedding of LRR Risk governance and oversight within the Compliance function
• Developing an understanding of and track ongoing and emerging matters in the space and coordinating with key internal stakeholders to help ‘join the dots’ for reporting purposes
• Identifying and escalating, through reporting or other means, potential Compliance and Reputational risks
• Assisting in the response effort for US regulatory exams and engaging with stakeholders throughout the firm as necessary
• Participating in Technical Compliance activities and engaging in internal risk management activities and identifying opportunities for continuous process improvement

What we’re looking for:

• Bachelor’s degree level educated within a relevant field and highly proficient in Microsoft PowerPoint and Excel
• Writing skills and ability to consistently and to a high standard against a broad range of competing priorities and to plan and manage multiple tasks/projects to completion
• Knowledge and understanding of relevant US regulatory requirements, including broker-dealer requirements
• Demonstrate competencies and experience in the Compliance department of an investment bank or other comparable/relevant environment

Skills that will help you in the role:

• Discretion, professionalism, proactive attitude, and a self-starter
• Ability to exercise sound judgment with an understanding of effective escalation of risk
• Ability to work effectively with a range of stakeholders in multiple locations and time zones

Where will you be working?

You will be working at our Americas Headquarters at 745 Seventh Avenue. This 32-story office tower is located in Times Square in the heart of Manhattan and features a cafeteria, fitness center and state-of-the-art LED signage on the facade of the building.

#LI-Hybrid

More about working at Barclays

From New York to Nevada, our Barclays US offices are places where we’ve brought work and wellbeing together to create environments where our people can be at their very best. These are warm, welcoming and diverse communities where everyone’s contribution is recognised and celebrated.

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 committed to providing a supportive and inclusive culture and environment for you to work in. This environment 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. Whether you have family commitments or you’re a Carer, or whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life. If you would like some flexibility then please discuss this with the hiring manager.

We're committed to providing a supportive and simplified experience for our candidates throughout the application and assessment process. Here, you will find information about what to expect and some guidance around your assessment and interview.

While the application process depends on the role, there are some constant steps, which are;

Step 1 - Your application
Step 2 - Your assessment
Step 3 - Your interview
Step 4 - Next steps

We aim to create an inclusive work environment where everyone can reach their full potential. If you require any adjustments to our recruitment process, please click here to learn more.

Find out more information 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.

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This is the spirit of Barclays. It’s why we exist, what we believe and how we behave. But most importantly, it’s how we make decisions, take action and get things done.

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