ECM & M&A Compliance Manager, AVP

Equity Capital Markets and Merger and Acquisition (ECM & M&A) Compliance Manager, AVP

London (remote + 2-3 times On-Site depending on the COVID situation)

• Length: 6 months initially, with great possibility for extension!!
• PAYE only

About Business Oversight Compliance
 

Banking Business Oversight Compliance (Banking BOC) provides day-to-day Compliance advisory services to the Banking and Capital Markets divisions of Barclays Corporate and International.

Overall Purpose of Role

The ECM & M&A Compliance team within Banking BOC provides Compliance advisory support to the ECM, M&A Advisory, Corporate Broking, Private Capital Markets, and Equity Syndicate teams in EME as well as to certain sector/country teams within Banking.

Key Accountabilities
 

• Providing compliance coverage of Equity Capital Markets (ECM), Equity Syndicate, Corporate Broking, and M&A
• Participating in initiatives in support of the firm’s conduct and risk management agenda e.g. CRA, RCSA, cross the border, etc.
• Supporting the provision of effective second-line ‘check and challenge ‘to assist Banking in meeting its conduct and regulatory obligations including devising and conducting verification checks for the Equity Syndicate and Banking
• Supporting on the delivery of advice on regulatory requirements including but not limited to: the FCA Handbook, MAR, and MiFID.
• Advising on firm policies and procedures
• Assisting in the development of policies and guidance to assist Banking to understand and comply with its conduct and regulatory obligations
• Assisting in the development and delivery of training
• Assisting Compliance support in the interpretation and implementation of new regulation
• Participating in Compliance projects and initiatives
• Assisting the ECM & M&A Compliance team in maintaining strong partnerships with business / other infrastructure areas

Risk and Control Objective
 

Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework, and internal Barclays Policies and Policy Standards.

Person Specification

Essential Skills/Basic Qualifications:
 

• Experience (of at least 2 years) in an AVP or comparable role gained as part of a Private Side  Advisory Compliance team either covering ECM/M&A or within a Compliance Control Room.
• Strong verbal and written communication; good interpersonal, influencing, and negotiating skills and commercial awareness
• Product knowledge and knowledge of Compliance touchpoints regarding the coverage area (ECM/M&A) gained as part of Private Side Advisory Compliance or Compliance Control Room team
• Strong team player
• Ability to identify potential conduct issues, to contribute effectively to develop strategies to mitigate risk and to escalate as appropriate
• Consistently demonstrate behavior in line with the Barclays Values and the ability to act as a culture carrier and role model for others in the team, leading by example
• Independent ability to check and challenge and escalate when appropriate
  • A UK qualification/degree  would be an advantage

Desirable skills/Preferred Qualifications:
 

• Some understanding of the UK/EU regulatory environment and relevant regulation including  subject matter expertise in relation to the Market Abuse Regulation, MiFID, and the  FCA Handbook would be an advantage
• Resilience to change, ability to deal with conflict, adaptability

About Barclays

Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate and investment bank, all of which are supported by our service company which provides technology, operations, and functional services across the Group.

Our Values 

Everything we do is shaped by the five values of Respect, Integrity, Service, Excellence, and Stewardship. Our values inform the foundations of our relationships with customers and clients, but they also shape how we measure and reward the performance of our colleagues. Simply put, success is not just about what you achieve, but about how you achieve it.

Our Diversity

We aim to foster a culture where individuals of all backgrounds feel confident in bringing their whole selves to work, feel included, and their talents are nurtured, empowering them to contribute fully to our vision and goals.

Our Benefits

Our customers are unique. The same goes for our colleagues. That's why at Barclays we offer a range of benefits, allowing every colleague to choose the best options for their personal circumstances. These include a competitive salary and pension, health care, and all the tools, technology, and support to help you become the very best you can be. We are proud of our dynamic working options for colleagues. Where appropriate, and for UK-based roles, we will consider requests that the role is based at alternative Barclays’ key UK location from that advertised.

Working Flexibly

We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognizes 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. Whether you have family commitments or you’re a carer, or whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life.  If you would like some flexibility, then please discuss this with the hiring manager.

If you would like some flexibility then please discuss this with the hiring manager.