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Director, E-Trading Business Oversight Compliance

Hong Kong, Hong Kong China

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Date live: 09/29/2026

Business Area: Compliance

Area of Expertise: Compliance

Contract: Permanent

Reference Code: JR-0000132078

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Barclays Compliance

Compliance is a broad, multidisciplinary function at Barclays that oversees our global business operations. We ensure the bank lives its values, meets regulatory requirements, and follows our codes of conduct. Compliance helps manage financial affairs safely, prevents crime, and eliminates bad practices, acting as guardians for customers, colleagues, assets, shareholders, and reputation. This vital, challenging, and rewarding role protects customers, defends our reputation, and defines our business practices. Without Compliance, Barclays could not operate.

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About E-Trading Business Oversight Compliance

E-Trading Business Oversight Compliance forms part of the Markets Compliance team.

The Global E-Trading Compliance Team is dedicated to providing guidance and advising on electronic and algorithmic trading matters.

The Team Mission Statement: Ensure that algorithms and electronic trading platforms are designed and perform as intended, using conduct and regulatory lenses to ensure the right customer outcomes and mitigate the risk of harm to clients, the markets and/or Barclays.


Overall Purpose of the Role

The Director of E-Trading BOC will be a member of a dynamic cross markets global team and will play a key role in three aspects of how the team delivers against their mission statement. These are:

  • Provide continuous check and challenge through the implementation and ongoing oversight of the requirements within the Global Electronic Trading Governance and Controls Standard
  • Provide a robust second line of defence regarding the building, implementation and maintenance of algorithms and electronic trading environments and provide day-to-day advisory coverage to the Sales and Trading teams on the electronic trading desks.
  • Electronic Trading Compliance Task Force – focus on inquiries, investigations and lessons learned

In addition, the Director of E-Trading BOC in HK will play a key role within the APAC Markets Compliance team. Advising and supporting the team on electronic trading, cash equities and equities derivatives related matters across the region.


Key Accountabilities

·    Reporting to the Head of Markets Compliance in Hong Kong, support the APAC Head of Markets Compliance on the day-to-day oversight of the electronic trading businesses in APAC.

·    Reporting to the Global Head of E-Trading Compliance, support on the delivery of the team strategy in line with the BOC TOM.

·    Provide direct advisory support to all business units in APAC engaged in electronic trading, including:

§  Advising on regulatory requirements and best practices in connection with electronic trading controls

§  Advising Technology on the appropriate implementation of such controls

·    Support the wider Equities BOC function, including cash equities and equities derivatives products coverage.

·    Managing key business stakeholder relationships.

·    Coordinating with other Product Advisory teams and key stakeholders to ensure consistency of controls.

·    Advise Markets Compliance personnel in APAC region on relevant regulatory and control issues.

·    Participate in e-trading and other equities related Compliance projects, coordinating with key stakeholders to achieve project success.

·    Ensure relevant MI for senior management regarding electronic trading or other equities products initiatives, issues, and other relevant information are kept up to date and escalated correctly.

·    Assist in the implementation of the Electronic Trading Governance and Controls Standard, ensuring all in scope business are in compliance with the requirement outlined in the Standard.

·    Provide second line review of system and algorithmic material changes.

·    Participate in global initiatives regarding electronic trading controls and governance.

·    Work with the Regulatory Relations and Regulatory Inquiries Teams to respond to regulatory inquiries and questions regarding electronic trading or other equities products.

·    Perform periodic Verification Checks in accordance with thematic reviews as well as ad hoc assessments of particular business areas, business logic, etc.

·    Conduct research on and participate in industry groups regarding pending or passed regulation pertinent to the electronic trading and other equities related space.


Stakeholder Management and Collaboration

·    Work collaboratively with Country Compliance, Central Compliance, Legal, Financial Crime, Compliance Assurance, Surveillance, Operational Risk and other control functions to identify and manage Compliance risks.

·    Build trusted and appropriately independent relationships with Front Office, senior business heads and key infrastructure partners.

·    Communicate complex requirements in plain language, balancing commercial context with clear regulatory and control expectations.

·    Contribute actively to the wider APAC Markets Compliance team, sharing knowledge, raising emerging risks and supporting colleagues across products and jurisdictions.

·    Be comfortable expressing an independent view, recognising others’ contributions and constructively challenging decisions, processes and assumptions.


Decision-Making and Problem Solving

·    Apply sound judgement to complex, time-sensitive and sometimes incomplete information, distinguishing material risks from lower-risk issues.

·    Use data, evidence and regulatory context to reach clear conclusions and recommend proportionate actions.

·    Escalate promptly where risk appetite, legal or regulatory obligations, client interests, market integrity or Barclays values may be compromised.

·    Challenge processes that are unclear, ineffective or insufficiently evidenced, and propose practical improvements.

·    Take ownership of deliverables, follow through on actions and maintain an audit-ready record of key advice, decisions and rationale.


Essential Skills and Qualifications

·    Degree-level education or equivalent practical experience.

·    Relevant Compliance, Legal, regulatory or risk experience within financial services, ideally supporting a Markets business.

·    Good understanding of e-trading, cash equities and/or equities derivatives products, market structure and associated control requirements.

·    Experience providing real-time or transaction-specific Compliance or regulatory guidance.

·    Knowledge of key global and APAC regulatory requirements relevant to Markets activities.

·    Strong written and verbal communication skills, including the ability to produce concise, well-supported and audit-ready documentation.

·    Ability to work independently, manage competing priorities and deliver effectively in a demanding environment.

·    Ability to provide credible check and challenge, make reasoned judgements and escalate appropriately.

·    Collaborative working style and willingness to share information, knowledge and experience with colleagues.


Desirable Skills and Experience

·    Prior experience covering e-trading, cash equities and/or equities derivatives businesses.

·    Experience with new product approval, business growth initiatives, verification checks, thematic reviews or Compliance monitoring.

·    Familiarity with market abuse, competition conduct, conflicts of interest and reputational risk frameworks.

·    Strong influencing and stakeholder-management skills, including interaction with senior business and control function leaders.

·    Good project-management, time-management and organisational skills.

·    Analytical, detail-oriented and able to retain a clear view of the broader risk and business context.

·    Pragmatic and solutions-focused, with a flexible and consultative working style.

Purpose of the role

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. 

Accountabilities

  • Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
  • Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
  • Conduct investigation of compliance risk events or breaches. Oversight and check 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.

Director Expectations

  • To manage a business function, providing significant input to function wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide..
  • They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
  • Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
  • Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
  • Escalates breaches of policies / procedure appropriately.
  • Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
  • Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
  • Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
  • Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
  • Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
  • Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
  • Negotiate with and influence stakeholders at a senior level both internally and externally.
  • Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
  • Mandated as a spokesperson for the function and business division.

All Senior Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.

Barclays welcomes applications from all candidates and is committed to ensuring reasonable adjustments (accommodations) are put in place to allow for a fair and inclusive recruitment process. For more information and how to request one, please review Adjustments to the recruitment process.

We’re a global, vital and highly respected financial organisation with an inspiring Purpose. Operating in 39 countries and employing around 100,000 people across the world, we help communities, individuals and businesses thrive. And we’ve created financial solutions and technology that the world now takes for granted. A career with us can offer incredible variety, depth and breadth of experience, and the chance to learn from some of the best minds in technology and finance.

To find out more about Barclays' strategy please click here.

We are an equal opportunity employer and opposed to discrimination on any grounds. It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, 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.

Barclays is required by law to confirm that you have the Legal Right to Work in any role that you apply for. If you currently hold a work visa sponsored by Barclays, or you would require sponsorship from Barclays, you must declare this as part of your application. Sponsored visas are role and entity specific and any changes must be reviewed. It is important that you ensure you are working on the correct visa at all times. Failure to accurately disclose your visa status or Legal Right to Work may result in your application or any employment offer being withdrawn at any time.

This role may be subject to enhanced governance arrangements. If successful, you may be required to comply with additional regulatory and compliance obligations, such as disclosure of personal trading activities and external interest/affiliations.

Further information on these requirements will be provided at a later stage of the process.

This is Barclays Hong Kong

China is a major growth opportunity, and Barclays’ Hong Kong branch has driven client growth in Greater China for five decades. Supported by the bank’s global cross-border Corporate and Investment Bank (CIB) platform and strong business collaboration, it remains a key growth platform.

Our Hong Kong office drives client growth in Greater China, leveraging its global banking platform and decades of local expertise.

Barclays’ Hong Kong office offers convenient commutes via nearby MTR stations, bus routes, trams, and Airport Express.

In the central district, employees enjoy nearby cultural spots like Hong Kong Park and art galleries, enhancing work-life balance.

Barclays Hong Kong offers diverse client base, exposing employees to varied industries and markets.

This is Barclays Hong Kong

China is a major growth opportunity, and Barclays’ Hong Kong branch has driven client growth in Greater China for five decades. Supported by the bank’s global cross-border Corporate and Investment Bank (CIB) platform and strong business collaboration, it remains a key growth platform.

Driving Growth

Our Hong Kong office drives client growth in Greater China, leveraging its global banking platform and decades of local expertise.

Great for commuters

Barclays’ Hong Kong office offers convenient commutes via nearby MTR stations, bus routes, trams, and Airport Express.

Prime location

In the central district, employees enjoy nearby cultural spots like Hong Kong Park and art galleries, enhancing work-life balance.

Diverse client base

Barclays Hong Kong offers diverse client base, exposing employees to varied industries and markets.

Multicultural ERGs at Barclays

Be you. Be valued. Belong.

We celebrate the unique perspectives and experiences each individual brings, believing our differences make us stronger and drive success.

You can learn more about our commitment to our colleague on our Inclusion and Opportunities page.

Learn more

Application Process

Your application

We’ll ask for information about you, your CV and cover letter.

1

Your assessment

Covering your behaviours and ability at work.

2

Your interview

Exploring your past experiences and skills.

3

Next step

We’ll request additional information so that you can complete our screening process

4
How to ApplyRead our FAQ's
Barclays

Working flexibly

We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognises and supports your personal needs, alongside the professional needs of our business. If you'd like to explore flexible working arrangements, please discuss this with the hiring manager. Your request will be reviewed in-line with the requirements of the role/business needs of the team.

Hybrid working

We have a structured approach to hybrid working, where colleagues work at an onsite location on fixed, ‘anchor’, days, as set by the business area. Please discuss the working pattern requirements for the role you are applying for with the hiring manager. Please note that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business.

Barclays is built on an international scale.

Our geographic reach, our wide variety of functions, businesses, roles and locations reflect the rich diversity of our worldwide customer base. All of which means we offer incredible variety, depth and breadth of experience.
And the chance to learn from a globally diverse mix of colleagues, including some of the very best minds in banking, finance, technology and business. Throughout, we’ll encourage you to embrace mobility, exploring every part of our operations as you build your career.

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