Chief Compliance Officer
4 weeks ago
To provide expert oversight and challenge on business and compliance matters to ensure Barclays operates in compliance with legal, regulatory, and ethical responsibilities.
Key Responsibilities- Identify and assess compliance risks through thorough reviews of business activities, changes, processes, testing, and systems.
- Investigate potential market abuse, including insider dealing, unlawful disclosure, market manipulation, or anti-competitive conduct.
- Conduct investigations of compliance risk events or breaches and oversee corrective actions and preventative measures.
- Implement compliance policies and procedures in line with regulatory requirements and ensure alignment with international standards.
- Collaborate with 1LOD, Compliance teams, legal, and risk management functions to facilitate a comprehensive approach to compliance and risk management.
- Identify, investigate, and oversee potential money laundering, terrorist financing, or other financial crime.
- Consult on complex issues and provide advice to People Leaders to support the resolution of escalated issues.
- Identify ways to mitigate risk and develop 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.
- Collaborate with other areas of work to keep up to speed with business activity and the business in complex analysis of data from multiple sources.
- Communicate complex information and influence or convince stakeholders to achieve outcomes.
As a Barclays Americas Chief Compliance Officer AVP, you will assist the Director in supporting the Americas CCO by developing management information and insights pertaining to monitoring the firm's adherence with laws and regulations.
To be successful in this role, you should have experience with laws, rules, and regulations (LRR) risk governance and oversight, MI reporting, and US regulatory requirements, including broker-dealer requirements.
This opportunity is located in New York, with a minimum salary of $100,000 and a maximum salary of $135,000.
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