Prime and Clearing & Execution Business Oversight Compliance VP

Barclays UK; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

Join a forward-thinking organization as a Prime and Clearing & Execution Business Oversight Compliance VP, where you will be pivotal in ensuring compliance with legal and regulatory responsibilities. This role involves providing expert oversight, identifying compliance risks, and collaborating with various teams to uphold the highest standards of integrity and excellence. You will lead a dynamic team, drive strategic initiatives, and foster a culture of continuous improvement. If you are a self-starter with a passion for compliance in a fast-paced environment, this is an exciting opportunity to make a significant impact.

Qualifications

• Experience in markets compliance, especially in clearing & executions.
• Ability to work independently and as part of a team.

Responsibilities

• Identify and assess compliance risks through business reviews.
• Investigate potential market abuse and compliance breaches.
• Implement compliance policies aligned with regulatory standards.

Skills

Markets compliance experience

Self-starter

Experience in compliance role with commodities

Risk and controls

Strategic thinking

Change and transformation

Digital and technology skills

Job description

Join us as a Prime and Clearing & Execution Business Oversight Compliance VP, where you'll work in a team providing advice and compliance support to the Prime and Clearing & Execution businesses, delivering a best-in-class partnership and forming part of a robust compliance second line of defence.

To be successful as a Prime and Clearing & Execution Business Oversight Compliance VP, you should have:

• Markets compliance experience, preferably in clearing & executions (futures and options).

• Self-starter who can work individually as well as part of a team.

Some other highly valued skills may include:

• Experience working in a fast-paced environment.

• Experience in a compliance role working with commodities.

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

Purpose of the role

To provide data-led expert oversight and challenge on business and compliance matters to ensure the organization operates in compliance with Barclays' legal, regulatory, and ethical responsibilities.

Accountabilities

1. Identification and assessment of compliance risks through reviews of business activities, changes, processes, testing, and systems.
2. Identification and investigation of potential market abuse, including insider dealing, unlawful disclosure, market manipulation, or anti-competitive conduct.
3. Investigation of compliance risk events or breaches, oversight of corrective actions, and preventative measures.
4. Implementation of compliance policies and procedures aligned with regulatory requirements and international standards.
5. Collaboration with first line of defense, other compliance teams, legal, and risk management functions.
6. Identification, investigation, and oversight of potential money laundering, terrorist financing, or other financial crimes.

Vice President Expectations

1. Contribute to strategy, drive requirements, and recommend changes. Manage resources, budgets, policies, and ensure continuous improvement.
2. Manage a team, define roles, plan for future needs, and guide performance and pay decisions. Lead specialists and influence operations aligned with strategic priorities.
3. Demonstrate leadership behaviors: Listen and be authentic, Energise and inspire, Align across the enterprise, Develop others.
4. If an individual contributor, serve as a subject matter expert, guide technical direction, lead assignments, and coach less experienced staff.
5. Advise stakeholders and senior management on impact and alignment.
6. Manage and mitigate risks, demonstrate leadership in controls, and understand organizational functions to support business goals.
7. Collaborate across areas to stay aligned with business strategies.
8. Create solutions through sophisticated analysis, research, and innovative thinking.
9. Build and maintain trusting relationships with stakeholders, using influencing and negotiating skills.

All colleagues are expected to embody Barclays' values: Respect, Integrity, Service, Excellence, and Stewardship, and to demonstrate the Barclays Mindset: Empower, Challenge, and Drive.