Markets Business Oversight Compliance - Macro and Laws, Rules, and Regulations

Barclays•New York, NY

7d•$145,000 - $200,000

About The Position

Join us as a Markets Business Oversight Compliance - Macro and Laws, Rules, and Regulations, where you will support Americas Markets Compliance with the compliance delivery of the Firm’s program to enhance Barclays’ approach to managing Laws, Rules, and Regulations (LRR) applicable to the firm and provide compliance oversight to the Macro Business within Markets. This role will require you to focus on LRRs that impact the firm’s Fixed Income businesses including FX, Rates, Credit and Securitized Products. Additionally, you will implement the compliance program for the Macro business within Markets by providing compliance oversight and day-to-day and project-based check and challenge of the Macro business with respect to regulatory, policy, reputational and conduct matters.

Requirements

Experience in the financial services industry, preferably at a broker-dealer/swap dealer
Knowledge of Securities and Derivatives Laws, Rules and Regulations for Fixed Income Businesses and how they impact those businesses
Knowledge of business controls and regulatory frameworks
Experience working in markets compliance or a similar controls function with check and challenge experience

Nice To Haves

Ability to interpret regulations and provide solutions
Understanding of global compliance standards
Experience supporting the roll-out of a control framework
Problem solving skills and a demonstrated ability to take initiative, work independently and critically identify and analyze issues associated with sophisticated products and transactions

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.
In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.
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.