Business Oversight Compliance - Control Room

Business Oversight Compliance - Control Room

New York

As a Barclays Business Oversight Compliance VP, you will provide advisory services in relation to Information Barrier Controls. You will create banking deal entries and track information about transactions. You will add banking deals to the Firm's internal Watch and Restricted Lists, as appropriate analyse the structure of Banking transactions to determine appropriate internal restrictions to impose on Markets and Research. You will also oversee communications between Research and Banking.

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?

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

* Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings

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

* Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers

* Keeping accurate and detailed records to ensure the integrity of firm's information barriers are appropriately monitored

* Applying firm wide restrictions in response to formal transaction announcements and advising on restricted activity in a time sensitive manner

* Investigating breaches of policy, and liaising with Product Compliance and the relevant supervisors as required to issue policy breach notifications

* Participating in Control Room projects or regulatory reviews as required

What we're looking for:

* Expert understanding of core control room processes and controls

* Equally comfortable working independently and as a team leader and mentor to junior staff

* Fundamental knowledge and understanding of key rules, regulations and market practices for financial products, trading and markets, corporate finance and investment research

* Understanding of key US and Non-US regulations relevant to the capital formation process such as the 1933/34 Act and Rules, 138/139 safe harbour analysis, JOBS Act, Reg M, Reg S

Skills that will help you in the role:

* The Series 7 or 79 certifications

* Presentation skills (i.e., experience designing, preparing and conducting compliance training sessions)

* Drafting skills (i.e., experience drafting policies, procedures, and guidance memoranda)

* Law or other advanced degree beneficial but not required

Where will you be working?

Because this position involves regular in-person contact with other employees and stakeholders, the Company requires proof of vaccination against COVID-19. As an equal opportunity employer, the company will provide reasonable accommodation to those individuals who are unable to be vaccinated consistent with federal, state, and a local law.

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.

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