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Vp, Control Room and Research Compliance Officer

4 months ago

New York, United States Barclays Full time

**VP, Control Room and Research Compliance Officer**
**New York, NY**

Barclays Services Corp

**What will you be doing?**

Barclays Services Corp seeks VP, Control Room and Research Compliance Officer in New York, NY (multiple positions available):

- On behalf of a global financial organization, providing advisory services for Information Barrier Controls and the flow of Material Non-Public Information (“MNPI”)
- Analyzing structure of Banking transactions to determine appropriate internal restrictions to impose on Markets and Research when deals are publicly announced
- Reviewing and pre-clearing research reports discussing issuers on the Firm’s internal watch and restricted lists
- Facilitating communications between Research and Banking pursuant to regulatory requirements
- Engaging with senior stakeholders across the Front Office including Markets, Banking, Research, and the Chief Operating Office team in relation to transactions, assimilating and analyzing relevant information to evaluate risks and requirements for preventative and detective controls such as surveillance and research review to manage the Firm’s watch and restricted list
- Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function
- Reviewing and documenting wall crossings in consultation with business heads acting as Wall Crossing Approvers
- Investigating breaches of policy and liaising with Business Oversight Compliance and the relevant supervisors as required to issue policy breach notifications and any actions deemed appropriate

**What we’re looking for**:

- Employer will accept a Bachelor’s degree or foreign equivalent in Business, Finance, Economics, or related field; and
- Five (5) years of post-baccalaureate progressive experience in the offered position or related occupation in compliance within the financial services industry

**Where will you be working?**

You will be working at our New York, New York location at 745 Seventh Avenue. This 37-story office tower is located in Times Square in the heart of Manhattan and features a cafeteria, fitness center and state-of-the-art LED signage on the façade of the building. The building is easily accessible to Restaurants, Shops and Public Transportation. Interested and want to know more about Barclays? Visit home.barclays/who-we-are/ for more details.

**Our Values**

Everything we do is shaped by the five values of Respect, Integrity, Service, Excellence and Stewardship. Our values inform the foundations of our relationships with customers and clients, but they also shape how we measure and reward the performance of our colleagues. Simply put, success is not just about what you achieve, but about how you achieve it.

**Our Diversity**

We aim to foster a culture where individuals of all backgrounds feel confident in bringing their whole selves to work, feel included and their talents are nurtured, empowering them to contribute fully to our vision and goals.

It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.

Dynamic working gives everyone at Barclays the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager.

**Our Benefits**

Our customers are unique. The same goes for our colleagues. That's why at Barclays we offer a range of benefits, allowing every colleague to choose the best options for their personal circumstances. These include a competitive salary and pension, health care and all the tools, technology and support to help you become the very best you can be. We are proud of our dynamic working options for colleagues. If you have a need for flexibility then please discuss this with us.

Salary / Rate Minimum/yr: $183,290
Salary / Rate Maximum/yr: $190,000

**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.**

This position is eligible for incentives pursuant to Barclays Employee Referral Program.