Securitized Products Business Oversight Compliance Lead

New York, United States

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Date live: Oct. 11, 2022

Business Area: COO & Functions

Area of Expertise: Compliance

Reference Code: 90281577

Contract: Permanent/Regular

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Securitized Products Business Oversight Compliance Lead
New York

As Barclays Securitized Products Business Oversight Compliance Lead you will collaborate, provide oversight and support to the Securitized Products Markets businesses. You will allow them to understand, embed and execute their conduct, financial crime, regulatory and reputational risk responsibilities. This is exciting time as you implement the compliance program by providing daily and project-based regulatory and compliance oversight while performing a check/challenge function.

Barclays is one of the world's largest and most respected financial institutions, with 329 years of success, quality and innovation behind us. We've helped millions of individuals and businesses thrive, creating financial and digital solutions that the world now takes for granted. An important and growing presence in the USA, we offer careers providing endless opportunity

What will you be doing?
•   Helping set the tone and culture expected by internal and external stakeholders by embedding the control and conduct framework
•   Advising, checking and challenging business strategy development and execution through business engagement in governance forums
•   Monitoring and testing to confirm adherence to policy and regulatory requirements
•   Providing day-to-day compliance oversight support to the securitized products business with respect to regulatory, policy, reputational & conduct matters
•   Assisting in creating and delivering the annual training plan
•   Identifying training requirements, and developing and administering ad hoc and periodic training to the Securitized Products Sales, Trading and Financing staff
•   Conducting compliance verification checks/ voice recording surveillance ensuring reporting and recording standards are met/ follow-up actions are completed

What we’re looking for:
•   Exceptional level of years’ experience in the financial services industry, preferably at a broker-dealer/swap dealer
•   Compliance experience in a large financial institution, established securities dealer or regulatory agency
•   Have a bachelor’s degree
•   Substantial understanding of fixed income products and services
•   Excellent written and verbal communication skills, along with the ability to successfully convey sensitive or difficult information

Skills that will help you in the role:
•   Experience of working in Markets Compliance (Securitized Products experience preferable)
•   Solid sense of responsibility, responsiveness and desire to learn and deliver results
•   Multi-tasking & project management skills - proven track record of driving/collaborating regulatory/ technology-focused projects to completion
•   Excellent written and verbal communication skills, along with the ability to successfully convey sensitive or difficult information

Where will you be working?
You will be working at our Americas Headquarters 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 facade of the building.

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More about working at Barclays

Our approach to hybrid working ensures there’s the right balance of working alongside colleagues at our onsite locations, as required for each role. For business areas that offer a hybrid working experience, this will be in a structured way, where colleagues work at an onsite location on fixed, ‘anchor’, days of the week. Some roles may require full onsite working. Please discuss the working pattern requirements for the role you are applying for with the hiring manager.

We continue to embed and review our hybrid working environment and remain in a phase of testing and learning. This means that working arrangements could change, with reasonable notice, to align with the needs of our business.

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 committed to providing an inclusive culture and environment, that recognises and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees globally to work flexibly empowers each of us to work in a way that suits our lives, as well as enabling us to better service our customers’ and clients’ needs.

Our approach to working flexibly is designed to support you to balance your life and to accommodate diverse needs, whilst still allowing us to meet our business needs. If you’d like to request a flexible working arrangement, please discuss this with your hiring manager.

We're committed to providing a supportive and simplified experience for our candidates throughout the application and assessment process. Here, you will find information about what to expect and some guidance around your assessment and interview.

While the application process depends on the role, there are some constant steps, which are;

Step 1 - Your application
Step 2 - Your assessment
Step 3 - Your interview
Step 4 - Next steps

We aim to create an inclusive work environment where everyone can reach their full potential. If you require any adjustments to our recruitment process, please click here to learn more.

Find out more information here.

Barclays offers a diverse, inclusive and engaged culture. A place where people can bring their whole selves to work and be respected for who they are, valued for what they do and celebrated for their contribution to our business and our community.
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.

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