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The Compliance Control Room manages 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. This is accomplished via advisory services provided in relation to Information Barrier Controls and the flow of MNPI. This includes daily interactions with senior bankers in regards to transactions and ensuring full, detailed regular analysis of the current and future state of private side transactions is undertaken. 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.
Liaising with senior bankers in relation to transactions, assimilating and analysing relevant information to evaluate risks and requirements for preventative and detective controls such as surveillance and research review to manage the Firm's Watch and Restricted List.
Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function.
Applying firm wide restrictions in response to market news and advising on restricted activity in a time sensitive manner to manage legal, regulatory and reputational risk.
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.
Investigating breaches of policy and uphold policy fairly and consistently, liaising with Product Compliance and the relevant supervisors as required to issue policy breach notifications and any actions deemed appropriate.
Assisting in drafting updated procedures, guidance or training, and delivering training from time to time.
Participating in Control Room projects or regulatory reviews as required, such as technology enhancements, insider lists, procedure updates and assurance reviews requiring Control Room subject matter expertise.
Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings to ensure internal controls and risk management processes are effective
Stakeholder Management and Leadership
The role involves frequent engagement with senior stakeholders across the Front Office including Markets, Banking and the COO team. The role holder will also be responsible for leading initiatives across products, functions and regions and therefore needs to have the ability to influence and engage with a broad range of stakeholders. The role holder will also, on occasion, be required to stand in for the team head at key governance meetings.
Decision-making and Problem Solving
The role holder will be expected to consider and interpret key information in a fast paced environment and apply judgement as to when and where to escalate. The role holder will also be expected to analyse new situations and information to evaluate whether there is any relevant read-across (i.e. could the issue arise in other areas, businesses, scenarios, etc.) or whether any control enhancements should be made and advise on / support the roll out of any such suggestions made.
Risk and Control Objective
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.
Personal attributes essential to performing role including competencies, expertise, knowledge, and experience. Note: experience requirements must not be in the form of years (minimum or otherwise).
Essential Skills/Basic Qualifications:
Degree or equivalent
Experience in a Control Room, Research Compliance or IBD Compliance CapacityDesirable skills/Preferred Qualifications:
Strong understanding of the rules and regulations relating to the Control Room
Able to work in a fast paced, time sensitive environment
Excellent communication skills both written and oral
Assertive and confident manner with an investigative nature