Chief Compliance Officer

4 weeks ago

New York, New York, United States Barclays Full time
Job Description

Purpose of the Role

To provide data-driven expert oversight and challenge on business and regulatory matters to ensure that the organization is operating in compliance with Barclays' legal, regulatory, and ethical responsibilities.

Key Accountabilities

  • Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing, and systems.
  • Investigation of potential market abuse, including insider dealing, unlawful disclosure, market manipulation, or anti-competitive conduct.
  • Conduct investigation of compliance risk events or breaches. Oversight 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

  • Consult on complex issues; providing 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.
  • 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 organization's 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 practices, 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.

Requirements

  • Experience with laws, rules, and regulations (LRR) risk governance and oversight.
  • MI reporting.
  • US regulatory requirements, including broker-dealer requirements.

Desirable Skills

  • Experience within the Compliance department of an investment bank.
  • Experience in assisting in US regulatory exams.
  • Ample stakeholder management.

Location

This opportunity is located in New York.

Compensation

Minimum Salary: $100,000

Maximum Salary: $135,000

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