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Date live: Jun. 24, 2021

Business Area: COO & Functions

Area of Expertise: Compliance

Reference Code: 90291767

Contract: Permanent

Financing Business Oversight Compliance, Lead
New York,

As a Barclays Financing Business Oversight Compliance lead, you will partner with Monitoring & Testing, Internal Audit and other Conformance Testing functions as subject matter experts to verify the technical accuracy and implications of findings. This position also provides day-to-day compliance support to all the Americas Prime Brokerage business, forming part of a robust Compliance second line of defence and helps deliver the Annual Compliance Plan and other Prime Brokerage specific initiatives.

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?

•    Driving embedment of Compliance policy, procedures and practice into the business and supporting development by businesses of effective control frameworks.
•    Real-time and responsive advice to the business and other infrastructure functions on matters arising day-to-day, for example: 
•    Reviewing of transactions including those that may pose reputational risk, trading queries relating to market impact / restructuring, trade amendments or trade reporting
•    Reviewing regulatory filings, potential conflicts of interest, review of marketing materials, wall crossing requests, non-market price transactions and client complaints
•    Preparing briefings for senior business and Compliance managers, escalating potential breaches of law, regulation or internal policy, and as others as necessary.
•    Executing projects and utilizing analytical skills relating to the control environment to deliver results to senior Compliance and business management.
•    Informing the business of applicable Compliance initiatives, regulatory requirements and rule changes, consultation and implementation, 
•    Taking a proactive lead in internal discussions to determine Barclays view and implementation including independent technical analysis of regulatory developments and their impact. 

What we’re looking for:

•    Bachelor’s degree or international equivalent
•    Prime Brokerage, Clearing and Settlement, Stock Loan (REG SHO) experience
•    Experience with Futures, Cleared Swaps and FX is a plus
•    Strong people skills with the ability of achieving cross-functional cooperation and able to regularly drive to meet varying and at time competing deadlines.

Skills that will help you in the role:

•    Strong engagement skills including the ability to relate to colleagues across multiple areas of the bank and our broader global counterparts. 
•    Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task and maintain flexibility in fast-paced, changing environment.
•    Demonstrates strong attention to detail and excellent work product. Ability to proof work to ensure it is accurate.
•    Strong expertise in Microsoft applications (Word, Excel, PowerPoint).

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.


More about working at Barclays