Business Oversight Compliance AVP - Markets

Barclays•New York, NY

7d•$110,000 - $135,000

About The Position

Join us as a Business Oversight Compliance AVP - Markets, where this role focuses on compliance with swap and security-based swap dealer obligations, Volcker obligations, Political Law requirements, and regulatory tradability. You will provide data-led oversight and effective challenge across Markets Compliance to support legal, regulatory, and ethical standards. You will partner with trading, business management, and compliance teams to identify regulatory issues, assess trade scope, and support remediation. This role sits within the Cross-Product Regulatory Compliance team and supports regulatory integrity across complex markets activities.

Requirements

Experience in markets or derivatives compliance, including swap and security-based swap dealer regulations
Understanding of Volcker Rule requirements and regulatory tradability frameworks
Ability to identify regulatory issues, assess trade scope, and support remediation plans

Nice To Haves

Experience working in fast-paced, projects-based environments within major financial institutions
Strong analytical, reasoning, and problem-solving skills with attention to detail
Ability to collaborate effectively with trading, compliance, and business stakeholders

Responsibilities

Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
Conduct investigation of compliance risk events or breaches.
Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.
To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness.
Collaborate closely with other functions/ business divisions.
Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function.
Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes
Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.
Take ownership for managing risk and strengthening controls in relation to the work done.
Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.
Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.
Communicate complex information.
Influence or convince stakeholders to achieve outcomes.