Markets Business Oversight Compliance - Macro and Laws, Rules, and Regulations

Overview

Join us as a Markets Business Oversight Compliance - Macro and Laws, Rules, and Regulations, where you will support Americas Markets Compliance with the compliance delivery of the Firm’s program to enhance Barclays’ approach to managing Laws, Rules, and Regulations (LRR) applicable to the firm and provide compliance oversight to the Macro Business within Markets. This role will require you to focus on LRRs that impact the firm’s Fixed Income businesses including FX, Rates, Credit and Securitized Products.

Additionally, you will implement the compliance program for the Macro business within Markets by providing compliance oversight and day-to-day and project-based check and challenge of the Macro business with respect to regulatory, policy, reputational and conduct matters.

• Experience in the financial services industry, preferably at a broker-dealer/swap dealer
• Knowledge of Securities and Derivatives Laws, Rules and Regulations for Fixed Income Businesses and how they impact those businesses
• Knowledge of business controls and regulatory frameworks
• Experience working in markets compliance or a similar controls function with check and challenge experience
• Interpret regulations and provide solutions; understand global compliance standards
• Support the roll-out of a control framework
• Problem solving skills and the ability to take initiative, work independently and critically identify and analyze issues associated with sophisticated products and transactions

• Ability to interpret regulations and provide solutions
• Understanding of global compliance standards
• Experience supporting the roll-out of a control framework
• Problem solving skills and a demonstrated ability to take initiative, work independently and critically identify and analyze issues associated with sophisticated products and transactions

You may be assessed on key critical skills relevant for success in this role, such as risk and controls, change and transformation, business acumen, strategic thinking and digital and technology, as well as job-specific technical skills.

This role is based in New York.

Minimum salary: $145,000

Maximum salary: $200,000

The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any other type of compensation or benefits that may be available.

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities.

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems.
• Identification and investigation of potential market abuse, including but not limited to Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
• Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
• Collaboration with 1
  
  LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

• To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/processes; deliver continuous improvements and escalate breaches of policies/procedures.
• If managing a team, define jobs and responsibilities, plan for the department’s future needs and operations, counsel employees on performance and participate in pay decisions; lead specialists to influence operations while balancing short and long-term goals and ensuring…