Americas Control Room Officer
New York, NY
As a Barclays Americas Control Room Officer, you will be responsible for providing advisory services in relation to Information Barrier Controls; including: creating Banking deal entries and tracking information about transactions where the Firm’s Bankers have a role, adding Banking deals to the Firm’s internal Watch and Restricted Lists. You will also analyse the structure of Banking transactions to determine appropriate internal restrictions to impose on Markets and Research.
Barclays is one of the world's largest and most respected financial institutions, with 329 years of success, quality and innovation behind us. 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.
What will you be doing?
• Liaising with senior bankers in relation to transactions, assimilating and analyzing relevant information to evaluate risks and requirements for preventative and detective controls
• Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings to ensure internal controls and risk
• Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function
• Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers; keeping accurate and detailed records to ensure Firm’s integrity
• Applying firm-wide restrictions in response to formal transaction announcements and advising on restricted activity to manage legal, regulatory and reputational risk
• Investigating breaches of policy, and liaising with Product Compliance and the relevant supervisors as required to issue policy breach notifications
• Prior to publication, reviewing and analyzing research reports that discuss issuers on the Firm’s internal Watch and Restricted Lists to confirm compliance
• Chaperoning communications between Research and Investment Banking personnel in order to manage conflicts of interest, prevent pressure on or retaliation against team
What we’re looking for:
• College degree or foreign equivalent
• 1-2 years of experience working in a Compliance Department at a global investment bank
Skills that will help you in the role:
• Law degree or MBA, Series 7 or 79 certifications
• Basic knowledge of US rules and regulations applicable to investment research
• Basic knowledge of US rules and regulations regarding the publication of investment research about issuers during securities offerings and M&A transactions
• Testing skills (i.e., experience designing or conducting audits or similar compliance tests or reviews)
Where will you be working?
You will be working at our Americas Headquarters at 745 Seventh Avenue. This 37-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.