Futures Commission Merchant -Compliance VP

Barclays•New York, NY

About The Position

Join us as a Futures Commission Merchant -Compliance VP, where you will provide expert, data-driven oversight across a highly regulated Markets business. In this role, you will deliver check-and-challenge coverage to ensure alignment with Barclays’ legal, regulatory, and ethical obligations. You will support Markets execution flows across multiple asset classes, partnering closely with senior stakeholders and regulators. This role is critical to sustaining business growth, regulatory credibility, and strong risk management across the US and global platform.

Requirements

Experience in Markets Compliance, including FCM, Prime Brokerage, or Derivatives
Ability to engage directly with regulators and manage regulatory inquiries
Subject-matter expertise across multi-asset Markets execution flows

Nice To Haves

Verbal and written communication skills with senior stakeholder presence
Ability to provide independent oversight, challenge, and advisory support to the business
Experience operating in high-volume, highly regulated financial services environments

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 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.
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.
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.