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About Barclays Barclays is a transatlantic consumer, corporate and investment bank offering products and services across personal, corporate and investment banking, credit cards and wealth management, with a strong presence in our two home markets of the UK and the US. With over 325 years of history and expertise in banking, Barclays operates in over 40 countries and employs approximately 130,000 people. Barclays moves, lends, invests and protects money for customers and clients worldwide . Please visit our website here for more information.
About Control Room
The Control Room is primarily responsible for preserving the integrity of the Bank's information barriers by monitoring and controlling the flow of confidential information between the Bank's private side businesses (e.g. Banking and Corporate Banking) and public side businesses (e.g. Sales, Trading and Research).
Overall purpose of role:
Key Accountabilities and Skills required: This section should include: Key specific accountabilities
Involved in all aspects of the daily operation of the control room including but not limited to review of insider lists, wall crossings, monitoring and surveillance, disclosures reviews, media requests
Performance of all UAT testing for system upgrades as required
Requests and data gathering as it relates to Compliance Monitoring & Testing, Global Compliance Assurance, internal audit, and regional compliance queries
Reviewing research publications, active involvement in research clearance shifts (including early morning shifts) to support the Asia and US regions
Monitoring and surveillance activities both in conducting daily reviews and in handling escalations of issues identified for areas including watch and restricted list surveillance, trade ideas monitoring, and other ad-hoc reporting of issues that create potential reputational and/or regulatory risk to the Bank
Liaise with Legal and other areas of Compliance to monitor and restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
Daily statistical gathering and recording for internal reporting purposes
Recording of breaches in Barclays internal Compliance systems
Review and preparation of training materials and conduct training both to Compliance and to business as required
Review and provision of solutions to local and global policy and procedural developments
Provide guidance and timely responses to ad hoc queries from the front office including those related to trading and the restricted list, banking requests for chaperoning, and data requests from research
Involved in increasing number of global projects and initiatives
Develop policies and guidance to assist the business to understand and comply with its regulatory obligations
Carrying out assurance reviews on Control Room tasks
Assist with completing compliance risk assessments for the businesses
Preparation of management information as it relates to the Control Room and other internal reporting
Provide support and cover to other areas within Private Side Compliance for the region as needed
Act as liaison with other Compliance functions on queries as they relate to the Control Room
Conflicts clearing and work with Business Selection group as may be required
Other ad-hoc tasks as required
Risk and Control: All Barclays colleagues have to ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards
Your Skills and Qualifications will include
College or university graduate with 6+ years of Compliance experience in financial services, preferably with Control Room and/or Private Side Compliance experience
Possess a strong understanding of the current regulatory environment and financial markets and/or securities regulation and rules
Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
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
Ability to interact with senior front office personnel and confidence to uphold Compliance positions under pressure
Proactive and willing to take on issues/responsibilities that require focus and determination
Ability to work as a member of a team in a high-pressure, fast-paced environment
Excellent organizational skills with attention to detail and ability to prioritise and work to tight deadlines under pressure
Proficiency in all Microsoft packages and aptitude with IT systems
Regulated role NA
The Benefits: Our customers deserve the best. The same goes for our employees. That's why at Barclays you'll receive a range of benefits that include a competitive salary and all the tools, technology and support you need to succeed.
Our common purpose is to help people achieve their ambitions - in the right way. We'll measure and reward our people, not just on commercial results, but on how they live our Values of Respect, Integrity, Service, Excellence and Stewardship and bring them to life every day. To find out more about working at Barclays and the development opportunities we offer please visit our website www.barclays.com
We are an equal opportunity employer and we are opposed to discrimination on any grounds.