Business Oversight Compliance Research and Control Room VP

Barclays • New York, NY

386d • $160,000 - $189,500

About The Position

The Business Oversight Compliance Research and Control Room VP at Barclays is responsible for managing legal, regulatory, and reputational risks across all lines of business. This role involves providing advisory services related to Information Barrier Controls and the flow of Material Non-Public Information (MNPI). Key responsibilities include evaluating controls related to banking activities, monitoring potential risks, investigating control breaches, and maintaining comprehensive documentation of control room activities.

Requirements

• Experience with US and Non-US regulations relevant to capital formation processes such as the 1933/34 Act, JOBS Act, and MiFID.
• Understanding of rules and market practices for financial products, trading, and corporate finance.
• Experience working in a Compliance Control Room at a global investment bank.
• Series 7 or 79 certifications are highly valued.
• Strong presentation skills for conducting compliance training sessions.
• Experience in drafting policies, procedures, and guidance memoranda.

Nice To Haves

• Risk and controls expertise
• Change and transformation skills
• Business acumen and strategic thinking
• Digital and technology skills
• Job-specific technical skills

Responsibilities

• Provide advisory services regarding Information Barrier Controls and MNPI flow.
• Create and track Banking deal entries and transactions involving the Firm's Bankers.
• Add Banking deals to the internal Watch and Restricted Lists as necessary.
• Analyze Banking transaction structures to determine internal restrictions for Markets and Research.
• Monitor information barriers to safeguard MNPI and document wall crossings.
• Review and pre-clear research reports discussing issuers on the internal Watch and Restricted Lists.
• Chaperone communications between Research and Banking.
• Evaluate controls related to various banking activities and advisory services.
• Monitor and evaluate potential risks from business activities and regulatory changes.
• Investigate reported control breaches and identify root causes.
• Implement corrective actions to address control breaches and strengthen frameworks.
• Maintain documentation of control room activities, including risk assessments and investigations.
• Develop procedures for managing incidents or breaches of information barriers.
• Maintain accurate records of Inside Information, Watch List, Restricted List, and Wall Crossings.

Benefits

• Competitive salary range of $160,000 - $189,500
• Comprehensive health insurance
• 401(k) retirement plan
• Paid time off and holidays
• Professional development opportunities

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Credit Intermediation and Related Activities
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees