Compliance Risk Manager
24 hours ago
Purpose of the Role
To provide expert oversight and challenge on business and compliance matters to ensure that Barclays operates in accordance with its legal, regulatory, and ethical responsibilities.
Key Accountabilities
- 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.
Assistant Vice President Expectations
- Provide advice on complex issues and support the resolution of escalated matters.
- Identify ways to mitigate risk and develop new policies and procedures in support of the control and governance agenda.
- Take ownership of managing risk and strengthening controls in relation to work done.
- Perform work closely related to other areas, requiring understanding of how areas coordinate and contribute to organizational objectives.
- Collaborate with other areas to keep up to speed with business activity and strategy.
- Engage in complex analysis of data from multiple sources, solve problems creatively, and communicate complex information effectively.
- Influence stakeholders to achieve outcomes.
As a Barclays Americas Chief Compliance Office AVP, you will assist the Director in supporting the Americas CCO by developing management information and insights on monitoring the firm's adherence to laws and regulations.
To be successful, you should have experience with laws, rules, and regulations risk governance and oversight, MI reporting, and US regulatory requirements, including broker-dealer requirements.
Some highly valued skills include experience within the Compliance department of an investment bank, assisting in US regulatory exams, and ample stakeholder management.
This opportunity is located in New York.
Minimum Salary: $100,000
Maximum Salary: $135,000
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