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US Head of eTrading Business Oversight Compliance

New York, United States

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Date live: 02/12/2025

Business Area: Compliance

Area of Expertise: Compliance

Contract: Permanent

Reference Code: JR-0000038079

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Barclays Compliance

Compliance is a broad, multidisciplinary function at Barclays that oversees our global business operations. We ensure the bank lives its values, meets regulatory requirements, and follows our codes of conduct. Compliance helps manage financial affairs safely, prevents crime, and eliminates bad practices, acting as guardians for customers, colleagues, assets, shareholders, and reputation. This vital, challenging, and rewarding role protects customers, defends our reputation, and defines our business practices. Without Compliance, Barclays could not operate.

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Salary / Rate Minimum: $200,000

Salary / Rate Maximum: $280,000

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

Join Barclays as US Head of Electronic Trading Business Oversight  (BOC) Compliance, where you will lead the US Electronic Compliance team and be responsible for providing oversight of the Electronic Trading business including our Quantitative Analytics Team within Global Markets. You will provide expert advice on algorithmic trading matters with senior business and Technology stakeholders, showcasing your strong rules and regulations knowledge.

To be successful as a Director, US Head of Electronic BOC, you should have experience with:

  • Significant understanding of US Laws and Regulations, including SEC 15c3-5, SEC Regulation ATS, and FINRA Rule 5310
  • Identifying and assessing compliance risks specific to the electronic trading business
  • Significant understanding of market structure and financial products across asset classes
  • Ability to understand the technical aspects of trading, including system architecture, trading flow structures, and proper control design and implementation
  • Providing guidance to senior members of Business, Technology, and Compliance Management on compliance issues
  • Leading and managing a team

Some other highly valued skills may include:

  • Ability to multitask in a fast-paced environment
  • Proven verbal and written communication abilities
  • Attention to detail and problem-solving mindset

Purpose of the role

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. 

Accountabilities

  • Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
  • Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
  • Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
  • Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
  • Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
  • Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

Director Expectations

  • To manage a business function, providing significant input to function wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide..
  • They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
  • Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
  • Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
  • Escalates breaches of policies / procedure appropriately.
  • Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
  • Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
  • Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
  • Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
  • Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
  • Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
  • Negotiate with and influence stakeholders at a senior level both internally and externally.
  • Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
  • Mandated as a spokesperson for the function and business division.

All Senior Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.

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 a global, vital and highly respected financial organisation with an inspiring Purpose. Operating in 39 countries and employing around 100,000 people across the world, we help communities, individuals and businesses thrive. And we’ve created financial solutions and technology that the world now takes for granted. A career with us can offer incredible variety, depth and breadth of experience, and the chance to learn from some of the best minds in technology and finance.

To find out more about Barclays' strategy please click 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.

Barclays is required by law to confirm that you have the Legal Right to Work in any role that you apply for. If you currently hold a work visa sponsored by Barclays, or you would require sponsorship from Barclays, you must declare this as part of your application. Sponsored visas are role and entity specific and any changes must be reviewed. It is important that you ensure you are working on the correct visa at all times. Failure to accurately disclose your visa status or Legal Right to Work may result in your application or any employment offer being withdrawn at any time.

This is Barclays New York

New York is home to Barclays’ US headquarters. The Americas hub for our Corporate and Investment Bank: a community of over 4,500 dedicated colleagues who create opportunities and solve challenges for some of the world’s most important companies.

Located in the heart of Manhattan, gives you a convenient location for commuting with access to everything New York can offer.

Our wellness center is equipped with modern amenities, including fitness centres offering a variety of classes and services.

Our health center provides a range of services, including primary and urgent care, wellness exams, health coaching, and vaccinations.

Our office features a variety of sophisticated dining options, including a colleague restaurant and a private executive dining room.

This is Barclays New York

New York is home to Barclays’ US headquarters. The Americas hub for our Corporate and Investment Bank: a community of over 4,500 dedicated colleagues who create opportunities and solve challenges for some of the world’s most important companies.

Excellent location

Located in the heart of Manhattan, gives you a convenient location for commuting with access to everything New York can offer.

Focused on fitness

Our wellness center is equipped with modern amenities, including fitness centres offering a variety of classes and services.

Caring for your health

Our health center provides a range of services, including primary and urgent care, wellness exams, health coaching, and vaccinations.

Great places to eat

Our office features a variety of sophisticated dining options, including a colleague restaurant and a private executive dining room.

Be you. Be valued. Belong.

We celebrate the unique perspectives and experiences each individual brings, believing our differences make us stronger and drive success. Our colleague networks offer connection, support, and growth, while our "This is Me" series shares the unique stories of our colleagues. Committed to diversity, equity, and inclusion, Barclays values you for who you are and ensures you truly belong.

You can learn more about our commitment to our colleague on our DE&I page.  

Learn more

Application Process

Your application

We’ll ask for information about you, your CV and cover letter.

1

Your assessment

Covering your behaviours and ability at work.

2

Your interview

Exploring your past experiences and skills.

3

Next step

We’ll request additional information so that you can complete our screening process

4
How to ApplyRead our FAQ's
Barclays

Working flexibly

We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognises and supports your personal needs, alongside the professional needs of our business. If you'd like to explore flexible working arrangements, please discuss this with the hiring manager. Your request will be reviewed in-line with the requirements of the role/business needs of the team.

Hybrid working

We have a structured approach to hybrid working, where colleagues work at an onsite location on fixed, ‘anchor’, days, as set by the business area. Please discuss the working pattern requirements for the role you are applying for with the hiring manager. Please note that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business.

Barclays is built on an international scale.

Our geographic reach, our wide variety of functions, businesses, roles and locations reflect the rich diversity of our worldwide customer base. All of which means we offer incredible variety, depth and breadth of experience.
And the chance to learn from a globally diverse mix of colleagues, including some of the very best minds in banking, finance, technology and business. Throughout, we’ll encourage you to embrace mobility, exploring every part of our operations as you build your career.

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