Securitized Product Business Oversight Compliance - VP

Barclays•New York, NY

1d•Onsite

About The Position

Purpose of the role To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. Join us as a Securitized Product Business Oversight Compliance - VP, where you’ll provide expert oversight and ensure adherence to legal, regulatory, and firm-wide compliance standards. In this role, you’ll assess and challenge securitized product activities, including trading, structuring, and origination, while helping to identify and mitigate risks. You’ll work closely with business and control partners, applying strong knowledge of U.S. securities regulations (FINRA/SEC) and market structures. This is a dynamic position suited for individuals who excel in problem-solving, communication, and navigating fast-paced environments.

Requirements

Understanding of US Laws, Rules and Regulations related to securities (FINRA/SEC), derivatives (CFTC) and loans
Identifying and assessing compliance risks specific to the securitized product distribution, trading, structuring, and origination activities
Understanding of market structure for securitized products
Working productively within a global Compliance team
Providing support to members of the Business and Controls Partners on compliance risk related issues

Nice To Haves

Attention to detail and problem-solving mindset
Ability to multitask in a fast-paced environment
Excellent verbal and written communication skills
Risk and controls
Change and transformation
Business acumen
Strategic thinking
Digital and technology
Job-specific technical skills

Responsibilities

Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems.
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.
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.
If managing a team, define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes.
If the position has leadership responsibilities, demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard (L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others).
For an individual contributor, be a subject matter expert within own discipline and 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.
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.
Demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship.
Demonstrate the Barclays Mindset – to Empower, Challenge and Drive.
Assess and challenge securitized product activities, including trading, structuring, and origination, while helping to identify and mitigate risks.
Work closely with business and control partners, applying strong knowledge of U.S. securities regulations (FINRA/SEC) and market structures.