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Business Oversight Compliance Control Room AVP

New York, New York

Date live: Jun. 15, 2024

Business Area: COO & Functions

Area of Expertise: Compliance

Reference Code: 90391003

Contract: Permanent

Salary / Rate USD 115000 to 145000

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Business Oversight Compliance Control Room Assistant Vice President
New York, NY

As a Barclays Business Oversight Compliance Control Room Assistant Vice President (AVP), you will be responsible for managing Legal, Regulatory, and Reputational Risk across all lines of the business. This involves critical business functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers and Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists.

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?

• Liaising with senior bankers in relation to transactions, assimilating, and analyzing relevant information to evaluate risks and requirements for preventative and detective controls
• Reviewing and analyzing Equity and FICC institutional research for any potential legal, regulatory, or reputational issues with applicable laws/regulations as well any conflicts
• Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function
• Providing guidance and acting as a control function to chaperoning requirements vetting the appropriateness of communications and calls between the Firm’s Equity research department
• Applying firm wide restrictions to transaction announcements and advising on restricted activity in a time sensitive manner to manage legal, regulatory, and reputational risk
• Reviewing wall crossing in consultation with business heads acting as Wall Crossing Approvers, keeping accurate and detailed record to ensure the integrity of firm’s barriers
• Investigating breaches of policy and uphold policy fairly and consistently and liaising with Product Compliance and the supervisors are required to issue policy breach notifications
• Assisting in drafting updated procedures, guidance or training, and delivering training and participating in Control Room projects requiring Control Room subject matter expertise

What we’re looking for:

• Knowledge of financial products, trading and markets, corporate finance, and investment research
• Knowledge of US regulation of financial firms, products, and markets

Skills that will help you in the role:

• Law degree or MBA and Series 7 or 79 certifications
• Knowledge of US rules and regulations to investment research and regarding the publication of investment research about issuers during securities offerings and M&A transactions
• Testing skills (experience designing or conducting audits or similar compliance tests and reviews)
• Presentation skills (experience designing and conducting compliance training sessions) and drafting skills (experience drafting policies, procedures, and guidance memoranda)

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.

The Barclays Way

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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