Control Officer VP – Cash Equities

Barclays•New York, NY

2d•$135,000 - $200,000•Onsite

About The Position

At Barclays, our vision is clear –to redefine the future of banking and help craft innovative solutions. In this role, you will play a key part in the first line of defense, ensuring effective risk management oversight across the NY Cash Equities business. You will partner with various support functions to identify, assess, and remediate issues while maintaining compliance with regulatory and internal frameworks. Additionally, you will support regulatory change action, guide audit engagements, and provide governance advisory services to senior stakeholders. As a trusted advisor to the business, you will drive continuous improvement in control design and operational resilience. Leveraging your equities and risk knowledge, you will guide control execution within a dynamic market environment.

Requirements

Extensive knowledge of risk and controls frameworks – able to review and resolve complex control scenarios
Previous experience working in Equities with a preference for Cash Equities and Program Trading businesses
Experience dealing with regulatory requirements and audit processes
Proficiency in data analysis, issue tracking, and reporting tools
Ability to support and implement governance and control improvements

Nice To Haves

Excellent stakeholder management and influencing capabilities
Effective communicator with the ability to engage across all organizational levels
Collaborative, solutions-oriented mindset combined with problem-solving skills
Pragmatic and commercial approach to problem solving

Responsibilities

Assess the integrity and effectiveness of the banks internal control framework to support the mitigation of risk and protection of the banks operational, financial, and reputational risk.
Collaboration with various stakeholders across the bank and business units to improve overall control effectiveness through detailed documentation of control assessments, procedures, and findings.
Identification and investigation of potential weaknesses and issues within internal controls to promote continuous improvement and risk mitigation aligned to the bank’s control framework, prioritised by its severity to disrupt bank operations.
Development of reports to communicate key findings from risk assessment including control weaknesses and recommendations to control owners, senior management, and other stakeholders.
Execution of reviews to determine the effectiveness of the bank's internal controls framework aligned to established and evolving policies, regulation, and best practice.
Implementation of adherence to the Barclays Controls Framework and set appropriate methodology of assessing controls against the Controls Framework.
Contribute or set strategy, drive requirements and make recommendations for change.
Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures.
Define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes.
Lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements.
Demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard.
Be a subject matter expert within own discipline and will guide technical direction.
Lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments.
Train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions.
Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment.
Manage and mitigate risks through assessment, in support of the control and governance agenda.
Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does.
Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.
Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies.
Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives.
Adopt and include the outcomes of extensive research in problem solving processes.
Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills to achieve outcomes.
Demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship
Demonstrate the Barclays Mindset – to Empower, Challenge and Drive