As a Barclays Control Room VP, you will provide advisory services in relation to Information Barrier Controls and the flow of Material Nonpublic Information (MNPI). You will create banking deal entries and track information. You will be analysing the structure of Banking transactions to determine appropriate internal restrictions to impose on Markets and Research when such deals are publicly announced. You will review and pre-clear research reports that discuss issuers on the Firm's internal Watch and Restricted Lists.
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.
What will you be doing?
??? Assimilating and analysing information to evaluate risks and requirements for preventative and detective controls to manage the Firm's Watch and Restricted List ??? Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings ??? Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function ??? Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers; keeping accurate and detailed records to ensure the integrity of the firm ??? Applying firm wide restrictions in response to formal transaction announcements and advising on restricted activity in a time sensitive manner ??? Investigating breaches of policy, and liaising with Product Compliance and the relevant supervisors as required to issue policy breach notifications ??? Reviewing and analysing research reports that discuss issuers on the firm's internal Watch and Restricted Lists to confirm compliance with applicable securities laws ??? Chaperoning communications between Research and Investment Banking personnel in order to manage conflicts of interest, prevent pressure or retaliation
What we're looking for:
??? Expert knowledge of core control room processes and controls ??? Equally comfortable working independently and as a team leader and mentor to junior staff ??? Open, honest and capable of adapting to change in a fast paced, teamwork oriented role ??? Curious and driven to learn and grow experience
Skills that will help you in the role:
??? Series 7 or 79 certifications ??? Presentation skills (i.e., experience designing, preparing and conducting compliance training sessions) ??? Drafting skills (i.e., experience drafting policies, procedures, and guidance memoranda) ??? Law or other advanced degree beneficial but not required
Where will you be working?
You will be working at our Americas Headquarters at 745 Seventh Avenue. This 37-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.
Because this position involves regular in-person contact with other employees and stakeholders, the Company requires proof of vaccination against COVID-19. As an equal opportunity employer, the company will provide reasonable accommodation to those individuals who are unable to be vaccinated consistent with federal, state, and a local law.