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Date live: Aug. 26, 2021

Business Area: COO & Functions

Area of Expertise: Compliance

Reference Code: 90293147

Contract: Permanent

Equities Trading Compliance Vice-President
New York, NY

As a Barclays Equities Trading Compliance Vice President, you will have a business facing role, requiring co-location with the sales and trading functions to fulfill the Business Oversight Compliance advisory role. You will collaborate with Compliance and Product coverage colleagues in Markets Compliance, and other relevant infrastructure staff (such as Technology, Risk, and Operations). 

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?

•    Providing coverage of equities and listed options sales and trading including developing close working relationships with personnel from the Front Office
•    Collaborating with various groups including Flow Volatility, Structured Volatility, Convertibles Trading, Special Situations, Program Trading and Electronic Trading
•    Working with Compliance and Product coverage colleagues in Markets Compliance and other relevant infrastructure staff (such as Technology, Risk, and Operations)
•    Acting as a point of contact for Equities Sales and Trading personnel for Compliance-related questions, concerns, and action points
•    Assisting with CAT program implementation
•    Being responsible for verification checks

What we’re looking for:

•    Good team player, with the ability to work in groups and lead groups in order to help drive the overall compliance function within markets
•    Stakeholder management and leadership experience

Skills that will help you in the role:

•    Excellent communication skills
•    Detail oriented
•    Ability to maintain and update policies and procedures
•    Ability to maintain balance between internal policies and procedures and commercial aspects of the business

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