US Head of eTrading Business Oversight Compliance

Barclays; New York (NY); On-site; USD 200,000 - 280,000; Full time

Job summary

Join a leading financial institution as the US Head of Electronic Trading Business Oversight Compliance. In this strategic role, you will lead a team overseeing electronic trading compliance, providing expert advice on regulations and managing compliance risks across various financial products. Your leadership will be crucial in ensuring adherence to legal and ethical standards while fostering a culture of compliance within the organization.

Qualifications

• Deep understanding of US Laws and Regulations.
• Experience in identifying compliance risks in electronic trading.

Responsibilities

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

Skills

Compliance Risk Assessment

Communication

Problem Solving

Job description

Salary / Rate Minimum: $200,000

Salary / Rate Maximum: $280,000

The above salary/rate includes only the base salary or hourly rate and excludes other compensation or benefits.

Join Barclays as the US Head of Electronic Trading Business Oversight (BOC) Compliance. In this role, you will lead the US Electronic Compliance team and oversee the Electronic Trading business, including the Quantitative Analytics Team within Global Markets. You will provide expert advice on algorithmic trading to senior business and Technology stakeholders, demonstrating strong knowledge of rules and regulations.

To succeed as a Director, US Head of Electronic BOC, you should have experience with:

• Deep understanding of US Laws and Regulations, such as SEC 15c3-5, SEC Regulation ATS, and FINRA Rule 5310
• Identifying and assessing compliance risks in electronic trading
• Market structure and financial products across asset classes
• Technical aspects of trading, including system architecture and control design
• Guiding senior management on compliance issues
• Leading and managing teams

Additional valued skills include:

• Ability to multitask in a fast-paced environment
• Strong verbal and written communication skills
• Attention to detail and problem-solving abilities

Purpose of the role

To provide data-driven oversight and challenge on business and compliance matters, ensuring the organization operates within legal, regulatory, and ethical standards.

Accountabilities

• Assess compliance risks through reviews of activities, processes, and systems
• Investigate potential market abuse, including insider dealing, unlawful disclosure, and market manipulation
• Investigate compliance breaches and oversee corrective actions
• Implement compliance policies aligned with regulatory and international standards
• Collaborate with legal, risk management, and other compliance teams
• Identify and oversee potential financial crimes such as money laundering and terrorist financing

Director Expectations

• Manage business functions and contribute to strategic initiatives
• Lead teams or projects, providing technical expertise and strategic input
• Advise senior management and influence policies
• Manage resources, budgets, and policies for the sub-function
• Ensure compliance with regulations and foster a culture of adherence
• Monitor external regulatory environment and influence policy when appropriate
• Maintain industry knowledge and apply analytical skills to complex situations
• Make strategic decisions and influence stakeholders at senior levels
• Act as principal contact for key clients and internal divisions

All senior leaders are expected to embody Barclays' LEAD behaviors: Listen, Energize, Align, Develop. All colleagues should demonstrate Barclays' Values—Respect, Integrity, Service, Excellence, and Stewardship—and the Mindset—Empower, Challenge, Drive.