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Control Room Research Compliance AVP

Employer
Barclays
Location
New York, USA
Salary
Competitive
Closing date
Jun 11, 2022

View more

Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
As a Barclays Control Room Compliance Officer AVP you will provide advisory services in relation to Information Barrier Controls and the flow of MNPI (Material Non-Public Information). You will create Banking deal entries and track information about transactions where the Firm's Bankers have a role. This role involves frequent engagement with senior stakeholders across the Front Office including Markets, Banking, Research, and the COO team.

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?

• Liaising with senior bankers in relation to transactions, assimilating and analyzing relevant information to evaluate risks and requirements for preventative and detective controls
• Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings
• Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function
• Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers
• Applying firm wide restrictions in response to formal transaction announcements and advising on restricted activity in a time sensitive manner
• Investigating breaches of policy, and liaising with Product Compliance and relevant supervisors to issue policy breach notifications and any actions deemed appropriate
• Reviewing and analyzing research reports that discuss issuers on the firm's internal Watch & Restricted Lists to confirm compliance with applicable securities laws, regulations, etc.
• Chaperoning communications between Research and Investment Banking personnel to manage conflicts of interest, prevent pressure on or retaliation against research analysts

What we're looking for:

• College degree or foreign equivalent
• 1-2 years of experience working in a Compliance department at a global investment bank
• Basic knowledge of financial products, trading and markets, corporate finance, and investment research
• Basic knowledge of US regulation of financial firms, products, and markets

Skills that will help you in the role:

• Law degree or MBA, Series 7 or 79 certifications
• Basic knowledge of US rules & regulations applicable to investment research & publication of investment research about issuers during securities offerings and M&A transactions
• Experience with testing (designing or conducting audits or similar compliance tests/reviews)
• Experience with presentation (designing and conducting compliance training sessions) and drafting (drafting policies, procedures, and guidance memoranda)

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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