Business Oversight Compliance Assistant Vice President
Whippany, NJ

As a Barclays Business Oversight compliance AVP this is an exciting opportunity where you will provide compliance oversight to Markets Post Trade Operations and Technology. You will work closely with senior management and participate in senior governance and control meetings. You will focus heavily on reporting requirements for the U.S. Broker/Dealer and the registered Swap Dealer. Your role has the potential to expand into compliance oversight for other TC’s in addition to TC-11 where Trade and Transaction Reporting and Client Money reside.

Barclays is one of the world's largest and most respected financial institutions, with 329 years of success, quality, and innovation behind us. We've helped millions of individuals and businesses thrive, creating financial and digital solutions that the world now takes for granted. An important and growing presence in the USA, we offer careers providing endless opportunity.

Working Flexibly

We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognizes and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees, globally to work flexibly empowers each of us to work in a way that suits our lives as well as enabling us to better service our customers’ and clients’ needs. Whether you have family commitments or you’re a carer, or whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life.

If you would like some flexibility, then please discuss this with the hiring manager, and your request will be reviewed subject to business needs.

We are currently in the early stages of implementing a hybrid working environment, which means that many colleagues spend part of their working hours at home and part in the office, depending on the nature of the role they are in. We’re flexible on how this works and it may continue to change and evolve. Depending on your team, typically this means that colleagues spend a minimum of between 20% to 60% of their time in the office, which could be over a week, a month, or a quarter. However, some colleagues may choose to spend more time in the office over a typical period than their role type requires. We also have a flexible working process where, subject to business needs, all colleagues globally can request work patterns to reflect their personal circumstances.

Please discuss the detail of the working pattern options for the role with the hiring manager.

What will you be doing?

• Presenting compliance oversight to Operations and Technology TC’s to ensure compliance with applicable trade rules and regulations
• Monitoring regulatory change, and taking appropriate action to ensure the Firm complies with new or amended regulations
• Providing guidance regarding the design and implementation of controls to facilitate compliance and mitigate risk in operational processes, disclosures, and regulatory reporting
• Managing and leading governance, oversight, and participation in Firm wide committees (including New Business & Risk & control Meetings)
• Advising on existing policies and procedures, as well as amending/supplementing/policies and procedures as required
• Delivering advice and expertise in responding to regulatory exams and inquiries
• Performing periodic testing and/or review of operations processes (Verification Checks)

What we’re looking for:

• Four-year college degree plus five plus years’ financial markets and or regulatory experience
• Comprehensive analytical and problem-solving skills; Strong written and verbal communications skills
• Team player – one who can prioritize in a fast moving, high pressure, constantly changing environment
• Ability to build, develop and maintain solid working relationships throughout various businesses and control functions and departments

Skills that will help you in the role:

• Solid commitment to Barclays values
• Proactive, solutions-oriented, and resourceful
• Able to adapt quickly and appropriately in accordance with the constant evolution of the company and industry
• Good and active communication to client and business needs

Where will you be working?

At Barclays, we are proud to be redefining the future of finance and here at Whippany we are defining the future of the workplace and the future of the way we work and live. We are creating a unique community, one of four strategic tech-enabled hubs that will redefine opportunity for everyone who works here. Whatever you do at Whippany, you’ll have every chance to build a world-class career in this world-class environment.

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