Control Room Surveillance - Assistant Vice President

Barclays•Whippany, NJ

8d•$110,000 - $135,000•Onsite

About The Position

Join us as a Control Room Surveillance - Assistant Vice President, where you will play a critical role in safeguarding market integrity and ensuring adherence to regulatory and internal policies. In this position, you will be part of the Control Room Surveillance team, working to monitor and analyze market activity for signs of abuse or manipulation, manage conflicts of interest, oversee insider information, and maintain watchlists. This is a strategic role that supports both day-to-day alert reviews and broader optimization initiatives in partnership with the global team. You will also contribute to a planned transformation program, helping drive innovation and operational excellence across control room functions.

Requirements

Understanding of Control Room Surveillance responsibilities, including knowledge of insider information handling, conflicts of interest, and watchlist management
Ability to monitor and analyze market activity to detect and escalate potential misconduct, ensuring adherence to regulatory and internal requirements
Experience in regulatory compliance, investigations, and market abuse surveillance within the financial services sector

Nice To Haves

Ability to collaborate cross-functionally, working closely with technology teams, stakeholders, and global partners
Communication and stakeholder management skills, with experience delivering process improvements and optimization initiatives
Familiarity with control room operations and transformation projects is a plus

Responsibilities

Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct.
Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.
Business support in projects related to the firm’s market surveillance framework.
Regulatory query and internal/external audit support.
Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends.
Execution of appropriate controls aligned to the Barclays control framework and related firm-wide standards.
Control environment support in relation to data quality, model effectiveness and efficiency.
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
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.

Benefits

Barclays employees are eligible for a suite of competitive and generous employee benefits, including medical, dental and vision coverage, 401(k), life insurance, and other paid leave for qualifying circumstances.
This position is eligible for an incentive award.

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