Investment Banking Business Oversight Compliance AVP

Barclays; New York (NY); On-site; USD 100,000 - 135,000; Full time

Job summary

Join a forward-thinking company as an Assistant Vice President in Investment Banking Compliance. In this pivotal role, you will provide data-driven oversight and ensure adherence to legal and regulatory standards. Your expertise in compliance risk management and monitoring will be crucial in identifying and mitigating risks. Collaborate with various teams to enhance governance and influence stakeholders effectively. This position offers a competitive salary and the opportunity to make a significant impact in a dynamic environment. If you are passionate about compliance and eager to drive positive change, this role is for you.

Qualifications

• Experience in compliance risk management and monitoring activities.
• Ability to break down complex rules into understandable formats.

Responsibilities

• Assess compliance risks through reviews of business activities.
• Investigate potential market abuse and compliance breaches.
• Implement compliance policies aligned with regulatory standards.

Skills

Compliance risk management

Monitoring activities

Analytical skills

Communication skills

Organizational skills

Understanding complex rules

Tools

Microsoft Word

Microsoft Excel

Microsoft Teams

Macros

Job description

As a Barclays Investment Banking Business Oversight Compliance AVP, you will support the Business Oversight Compliance team by assisting the Investment Banking business and maintaining the inventory and risk assessment of LRRs applicable to Barclays Bank PLC in the US.

To succeed as an Investment Banking Business Oversight Compliance AVP, you should have experience with:

1. Conducting various monitoring activities
2. Developing or improving controls, monitoring activities, or other risk mitigants within the LRR process
3. Breaking down complex rules and policies into understandable formats

Additional valued skills include:

1. Understanding of Compliance risk management frameworks
2. Familiarity with Macros for developing presentation materials
3. Proficiency in Microsoft Word, Excel, and Teams
4. Strong communication, organizational, and analytical skills

This role is based in New York with a salary range of $100,000 to $135,000, excluding additional compensation or benefits.

Purpose of the role

To provide data-driven oversight and challenge on business and compliance matters, ensuring adherence to Barclays' legal, regulatory, and ethical standards.

Accountabilities

• Assess compliance risks through reviews of business activities, processes, and systems
• Investigate potential market abuse, including insider dealing, unlawful disclosure, market manipulation, or anti-competitive conduct
• Investigate compliance breaches and oversee corrective actions
• Implement compliance policies aligned with regulatory standards and international guidelines
• Collaborate with 1LOD, other compliance teams, legal, and risk management functions
• Identify and oversee investigations into money laundering, terrorist financing, or other financial crimes

Assistant Vice President Expectations

• Provide advice on complex issues and support resolution of escalated matters
• Develop policies to mitigate risks and support governance
• Manage risks and enhance controls
• Coordinate with other areas to achieve organizational objectives
• Analyze data from multiple sources to solve problems creatively
• Communicate complex or sensitive information effectively
• Influence stakeholders to achieve desired outcomes

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