US Head of eTrading Business Oversight Compliance

Barclays UK; 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, where you'll guide compliance for electronic trading. Leverage your expertise in US regulations and lead a team to ensure adherence to legal standards while managing compliance risks and investigations.

Qualifications

• Experience with US Laws and Regulations such as SEC 15c3-5 and FINRA Rule 5310.
• Deep understanding of electronic trading compliance risks.

Responsibilities

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

Skills

Compliance Risk Assessment

Communication

Problem Solving

Multitasking

Job description

Salary / Rate Minimum: $200,000

Salary / Rate Maximum: $280,000

The above salary/rate includes only the base salary or hourly rate. It does not include other compensation or benefits.

Join Barclays as the US Head of Electronic Trading Business Oversight (BOC) Compliance, leading the US Electronic Compliance team. You will oversee the Electronic Trading business, including the Quantitative Analytics Team within Global Markets, providing expert advice on algorithmic trading to senior stakeholders, leveraging your strong knowledge of rules and regulations.

To succeed as the 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
• Knowledge of market structure and financial products across asset classes
• Understanding technical trading aspects, including system architecture and control design
• Guiding senior management on compliance issues
• Managing and leading a team

Additional valued skills include:

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

Purpose of the role

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

Accountabilities

• Assess compliance risks through reviews of activities, processes, and systems
• Investigate potential market abuse, including insider dealing and market manipulation
• Oversee investigations of compliance breaches and ensure corrective actions
• Implement compliance policies aligned with regulatory standards
• Collaborate with legal, risk management, and other compliance teams
• Identify and oversee investigations related to financial crimes

Director Expectations

• Manage a business function, contributing to strategic initiatives and policies
• Lead and develop teams, fostering a performance culture
• Provide expert advice to senior management and influence decisions
• Manage resources, budgets, and policies for the sub-function
• Ensure regulatory compliance and monitor external environment
• Maintain extensive knowledge of industry practices and external developments
• Use analytical skills to solve complex problems and make strategic decisions
• Negotiate and influence stakeholders at senior levels
• Act as a principal contact for key clients and external functions

All senior leaders are expected to embody the LEAD behaviours: Listen, Energise, Align, Develop. Colleagues should demonstrate Barclays' values: Respect, Integrity, Service, Excellence, Stewardship, and the Mindset: Empower, Challenge, Drive.