Equities Regulatory Risk and Control-AVP

Equities Regulatory Risk and Control Analyst
New York

As a Barclays Equities Regulatory Risk and Control Analyst this is an exciting opportunity where you will be ensuring the Supervision of Equities Transactions relating to applicable Regulatory Rules. You will ensure the Control Framework is effectively managing the associated risks.  You will have the opportunity to work closely with the Compliance, Technology, and the Traders to define requirements, oversee Control Report design and builds, and respond to Regulator inquiries.  

Salary / Rate Minimum: $95,000
Salary / Rate Maximum: $140,000

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, 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.

Working Flexibly

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, and your request will be reviewed subject to business needs.

We are currently in the early stages of implementing a hybrid working environment, which means that many colleagues spend part of their working hours at home and part in the office, depending on the nature of the role they are in. We’re flexible on how this works and it may continue to change and evolve. Depending on your team, typically this means that colleagues spend a minimum of between 20% to 60% of their time in the office, which could be over a week, a month, or a quarter. However, some colleagues may choose to spend more time in the office over a typical period than their role type requires. We also have a flexible working process where, subject to business needs, all colleagues globally can request work patterns to reflect their personal circumstances. Please discuss the detail of the working pattern options for the role with the hiring manager.

What will you be doing?

•    Ensuring adherence with Equity Trading Regulatory Rules, introducing enhancements to the Control Environment utilizing technology to reduce risks and create efficiency 
•    Handling and managing of transaction monitoring and business objectives
•    Working closely with the Compliance, Technology, and the Traders to define requirements, overseeing Control Report design and builds, and responding to Regulator inquiries
•    Running surveillance reports and escalation procedures as a BAU function
•    Having industry experience and specific data knowledge within various products related to Equities trade surveillance
•    Understanding change management as well as the control environment
•    Being knowledgeable on business intelligence tools, data environments and Excel macros

What we’re looking for:

•    Bachelor’s Degree 
•    Experience in a financial services firm or institution
•    Front Office, Operations, Compliance, Regulatory, or Risk Management within a large global financial institution
•    Significant Experience with Cash Equities, Options and OTCs

Skills that will help you in the role:

•    Knowledge of database and query tools 
•    Demonstrated communication skills; ability to interact and work closely with senior business heads and other key partners (e.g. Compliance, Desk Supervisors)
•    Exposure to System workflow, order/execution, trade booking, Risk, Market Data systems
•    Solid analytical and adaptive skills

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 #LI-DE20

USD 95000 to 140000