Business Oversight Compliance Control Room AVP

Business Oversight Compliance Control Room Assistant Vice President

New York, NY

As a Barclays Business Oversight Compliance Control Room Assistant Vice President (AVP), you will be responsible for managing Legal, Regulatory, and Reputational Risk across all lines of the business. This involves critical business functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers and Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists.

Salary/ Rate Minimum: $115,000

Salary/ Rate Maximum: $145,000

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, 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?

• Liaising with senior bankers in relation to transactions, assimilating, and analyzing relevant information to evaluate risks and requirements for preventative and detective controls

• Reviewing and analyzing Equity and FICC institutional research for any potential legal, regulatory, or reputational issues with applicable laws/regulations as well any conflicts

• Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function

• Providing guidance and acting as a control function to chaperoning requirements vetting the appropriateness of communications and calls between the Firm's Equity research department

• Applying firm wide restrictions to transaction announcements and advising on restricted activity in a time sensitive manner to manage legal, regulatory, and reputational risk

• Reviewing wall crossing in consultation with business heads acting as Wall Crossing Approvers, keeping accurate and detailed record to ensure the integrity of firm's barriers

• Investigating breaches of policy and uphold policy fairly and consistently and liaising with Product Compliance and the supervisors are required to issue policy breach notifications

• Assisting in drafting updated procedures, guidance or training, and delivering training and participating in Control Room projects requiring Control Room subject matter expertise

What we're looking for:

• Knowledge of financial products, trading and markets, corporate finance, and investment research

• Knowledge of US regulation of financial firms, products, and markets

Skills that will help you in the role:

• Law degree or MBA and Series 7 or 79 certifications

• Knowledge of US rules and regulations to investment research and regarding the publication of investment research about issuers during securities offerings and M&A transactions

• Testing skills (experience designing or conducting audits or similar compliance tests and reviews)

• Presentation skills (experience designing and conducting compliance training sessions) and drafting skills (experience drafting policies, procedures, and guidance memoranda)

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