Business Oversight Compliance AVP - Markets Job at Barclays, New York, NY

Qy9QbHhKZlR2L3k3S3NTWDJKYk1YMDV2N3c9PQ==
  • Barclays
  • New York, NY

Job Description

Join us as a Business Oversight Compliance AVP - Markets, where this role focuses on compliance with swap and security-based swap dealer obligations, Volcker obligations, Political Law requirements, and regulatory tradability. You will provide data-led oversight and effective challenge across Markets Compliance to support legal, regulatory, and ethical standards. You will partner with trading, business management, and compliance teams to identify regulatory issues, assess trade scope, and support remediation. This role sits within the Cross-Product Regulatory Compliance team and supports regulatory integrity across complex markets activities.

To be successful as a Business Oversight Compliance AVP - Markets, you should have:

  • Experience in markets or derivatives compliance, including swap and security-based swap dealer regulations

  • Understanding of Volcker Rule requirements and regulatory tradability frameworks

  • Ability to identify regulatory issues, assess trade scope, and support remediation plans

Highly valued skills:

  • Experience working in fast-paced, projects-based environments within major financial institutions

  • Strong analytical, reasoning, and problem-solving skills with attention to detail

  • Ability to collaborate effectively with trading, compliance, and business stakeholders

You may be assessed on key critical skills relevant for success in this role, such as risk and controls, change and transformation, business acumen, strategic thinking and digital and technology, as well as job-specific technical skills.

This role is located in New York.

Minimum Salary: $110,000

Maximum Salary: $135,000

The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any other type of compensation or benefits that may be available.

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. 

Accountabilities

  • 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.

Assistant Vice President Expectations

  • 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
  • If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.
  • OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.
  • Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
  • 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. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.
  • Influence or convince stakeholders to achieve outcomes.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.

Job Tags

Hourly pay, Permanent employment,

Similar Jobs

Datamanusa

Investigator I Job at Datamanusa

 ...DatamanUSA is looking for an Investigator I for our direct client based in DE. This is a great opportunity for someone who is a quick learner with excellent people skills. Job Details: Job Title: Investigator I Location: New Castle, DE Duration: 12+ months... 

PhillyTech.Co

CTO | $230K-$270K + Hybrid + Equity | High Growth Legal Tech Startup Job at PhillyTech.Co

This is a hybrid role in the San Francisco Bay Area in Emeryville, with 2-3 days in the office. Are you ready to disrupt outdated systems with a modern, future-proof platform? Our client is a fast-growing SaaS company with the most modern platform for case and ...

Insight Global

Legal Operations Manager Job at Insight Global

 ...information collected there is subject to their terms and privacy notice. Job Description Our client is looking for a Legal Operations Manager to join the team. You will lead a team of 40+ in the pre-litigation process, ensure casework is executed with precision,... 

University of Calgary

PhD studentships in modeling boreal forest fire regime and ecosystem resilience under climate change and modeling peatland wildfires in the boreal forest of eastern Canada Job at University of Calgary

 ...regions of the world and are major carbon sinks regulating earth's climate. However, warmer and drier climates put these ecosystems at...  ...For peatlands, we seek to assess how the peatland fire regime changes with climate warming, exploring carbon release and risks to communities... 

HPM Building Supply

Plumbing and Electrical Specialist Job at HPM Building Supply

 ...The expected pay range for a Plumbing and Electrical Specialist in Hilo is $18.50 to $22.10 per hour. HPM Building Supply in Hilo, Hawaii is seeking to hire a full-time Plumbing and Electrical Specialist to be responsible for providing an experience that wows...