INVESTMENT BANKING OVERSIGHT COMPLIANCE

As a Barclays Business Oversight Compliance Assistant Vice President, you will be accountable for providing guidance and oversight to Businesses and Functions within your area of coverage. You will also review daily reports monitoring firm thresholds on various items. You will provide assistance and advice to Business and Compliance colleagues on applicable Policies, Standards, Procedures, Rules or Regulations and internal controls.  You will provide oversight of conduct risk and advice and guidance to Businesses.

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.

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.

WORKING FLEXIBLY

We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognizes and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees, globally to work flexibly empowers each of us to work in a way that suits our lives as well as enabling us to better service our customers’ and clients’ needs. Whether you have family commitments or you’re a caregiver, or whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life

We are currently in the early stages of implementing a hybrid working environment, which means that many colleagues spend part of their working hours at home and part in the office, depending on the nature of the role they are in. We’re flexible on how this works and it may continue to change and evolve. Depending on your team, typically this means that colleagues spend a minimum of between 20% to 60% of their time in the office, which could be over a week, a month or a quarter. However, some colleagues may choose to spend more time in the office over a typical period than their role type requires. We also have a flexible working process where, subject to business needs, all colleagues globally are able to request work patterns to reflect their personal circumstances. Please discuss the detail of the working pattern options for the role with the hiring manager.

WHAT WILL YOU BE DOING?

•    Helping set the tone and culture expected by internal and external stakeholders by embedding the control and conduct framework

•     Advising, checking and challenging business strategy development and execution through business engagement in governance forums and continued monitoring

•     Testing to confirm adherence to policy and regulatory requirements

•     Providing day-to-day compliance oversight and assistance to the Investment Banking business with respect to regulatory, policy, reputational and conduct matters

•     Contributing to the successful delivery of the annual training plan 

•     Identifying training requirements, and developing and administering ad hoc and periodic training to the Americas based Investment Banking staff

•     Conducting compliance verification checks in a comprehensive, accurate & efficiently, ensuring reporting & recording standards are met & follow-up actions are completed

WHAT WE’RE LOOKING FOR:

•     Some prior experience within Compliance, Compliance Assurance, Audit, Risk or Controls in an investment banking environment

•     Knowledge of investment banking products and services and applicable laws, rules and regulations

•     Knowledge of the Enterprise Risk Management Framework (3 Lines of Defense model)

•     Ability to analyze and interpret Policies, Standards or Regulatory rules and their impact on the Investment Bank

SKILLS THAT WILL HELP YOU IN THE ROLE:

•     Advanced technology skills (i.e. advanced Excel, PPT, SharePoint, Teams)

•     Prior experience working in an Investment Bank or a U.S. Broker Dealer

•     Ability to coordinate across a large, global, matrixed organization

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.

We’re a global, vital and highly respected financial organisation with an inspiring Purpose. Operating in 50 countries and employing around 83,000 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.