Compliance Control Room Specialist - AVP

Job Description

Purpose of the role

To manage Legal, Regulatory and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists. 

Accountabilities

• Evaluation of controls related to various banking activities, such advisory services provided in relation to Information Barrier Controls and the flow of MNPI. The critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.
• Monitoring and evaluation of potential risks arising from various business activities, regulatory changes, and internal control requirements.
• Investigation and analysis of reported control breaches, identification of root causes, and determination of the extent of the impact on the bank.
• Implementation of corrective actions to address identified control breaches, prevent recurrence, and strengthen internal control frameworks.
• Maintenance of comprehensive and up-to-date documentation of control room activities, including risk assessments, investigations, and corrective actions.
• Development and implementation of procedures for responding to and managing incidents or potential breaches of information barriers.
• Maintenance of accurate records of Inside Information, Watch List, Restricted list and Wall Crossings to ensure internal controls and risk management processes are effective.

Assistant Vice President Expectations

• To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions.
• Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function. Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes
• If the position has leadership responsibilities, People 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.
• OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.
• Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
• Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.
• Take ownership for managing risk and strengthening controls in relation to the work done.
• Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.
• Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.
• Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.
• Influence or convince stakeholders to achieve outcomes.

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.

Embark on an exciting opportunity as a member of the Compliance Control Room team, where the key objective of the role includes Control Room and Conflicts Management functions as set out below. The Compliance Control Room is responsible for managing Conduct and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists. As a member of the APAC Private Side & Research Compliance team, you will also play a key role that involves supporting of Business Oversight Compliance work such as reviewing issues involving Investment Banking and Research businesses, verification checks, training, risk assessments, as well as advising and check and challenge of Business initiatives.

To be successful in the role, you need to have following:

Essential Skills/Basic Qualifications:

• University graduate (or higher) with solid Compliance experience in financial services, with relevant Control Room experience. Strong understanding of information control and conflicts of interest issues long with current regulatory environment and financial markets and/or securities regulations and rules including Market Conduct and research settlement rules

• Proficiency in all Microsoft packages and aptitude with IT systems

• Detail-orientated and ability to meet deadlines in challenging situations.

• Excellent English communication skills both orally and in writing with ability to articulate problems, issues and proposals effectively and with an advanced command of concepts and procedures

• A good team player with the ability to interact with all levels of personnel and confidence to uphold Compliance positions under pressure

Desirable skills/Preferred Qualifications:

• Proactive and willing to take on issues/responsibilities that require focus and determination

• Proficiency with VBA, Tableau, SQL, and/or Python

• Chinese language skills

You may be assessed on key critical skills relevant for success of the role including job-specific technical skills and interpersonal skills.

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