Equities Regulatory Monitoring Lead
New York City, NY
As a Barclays Equities Regulatory Monitoring Lead, you are responsible for leading regulatory adherence monitoring for SEC and FINRA rules for Equities Trading across Cash, Derivatives, and Prime. You will have the opportunity to act as the point of coordination and syndication of all Control Services, ensuring consistency and quality delivery of the Controls Strategy, Control Frameworks, improvement initiatives and capabilities across each Business, Functions or Horizontals.
Salary / Rate Minimum: $145,000
Salary / Rate Maximum: $199,000
The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any other 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?
• Leading the first line of defence US Equities Regulatory adherence monitoring activities for FINRA and SEC rules, including Reg SHO and Reg NMS
• Investigating and escalating to business oversight Compliance and Front Office Supervisors as required
• Monitoring activities, develop related reporting and control forum management information (MI)
• Handling enquiries from Audit, Compliance Assurance, as well as external Regulators, including planning and delivery of identified remediation efforts
• Establishing appropriate team structure and resources to deliver the framework in BAU, leveraging offshore support as required
• Leading on oversight, guidance and support relating to issues management in respect of risk and control issues including quality and adherence to SLAs
• Ensuring frameworks are implemented and managed effectively across aligned businesses, functions and horizontals
• Driving improved and sustainable controls culture through use of data led relevant indicators to ensure Control Forums are insightful and conversations risk focused
What we’re looking for:
• Prior experience with US Equities (Securities) Regulations from the SEC and FINRA
• Equities business knowledge, including understanding of Trade and Order data
• Excellent Project Management skills and ability to organise and clearly update on key deliverables
• Knowledge of Markets business risks and related Control requirement
Skills that will help you in the role:
• Experience with front office supervision frameworks
• Prior experience in a Controls, Front Office Equities, or a related Equities Compliance team
• Knowledge of the Software Development Lifecycle, including experience with the Agile development
• Exceptional Excel skills including extensive experience in managing large quantities of data, pivots, formulas, Vlookup
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.
USD 145000 to 199000