Investment Banking Compliance
Investment Banking Compliance
The overall purpose of the role:
Investment Banking Compliance provides day-to-day Compliance advisory services to the Investment Banking Division of Barclays International.
To be part of a team providing day to day compliance support and oversight for EMEA DCM, Leveraged Finance, Risk Solutions Group, and Fixed Income Syndicate, and sector teams, focusing primarily on:
- Developing close working relationships with Front Office and other relevant infrastructure colleagues including Legal, Operations, Credit Risk and Operational Risk
- Reviewing and advising on transactions, governance and controls, marketing, and other matters relating to ongoing business activity, including identifying potential issues and aligning solutions with Bank and Compliance strategy
- Contributing to and influencing Barclays Group, Investment Bank and Investment Banking (private side) work on policies and procedures, regulatory development, management information, and surveillance initiatives
- Supporting and influencing business projects with Compliance implications
- Promoting regional and global collaboration in Investment Banking Compliance coverage, including participating in business and infrastructure committees and liaising with Compliance and Legal colleagues in Europe and other regions, in Barclays Corporate and International
- Identifying Compliance training priorities and developing and delivering Compliance training
- Advising on regulatory aspects of the handling of client complaints and litigation, including identifying and escalating emerging trends and issues
Risk and Control Objective
Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Barclays Operational Risk Framework, and internal Barclays Policies and Standards.
Consistently demonstrate behavior in line with the Barclays Values (Respect, Integrity, Service, Excellence, Stewardship)
- Act as a culture carrier and role model for others in the team, leading by example
- Experience and qualifications commensurate with a VP role gained in the Legal or Compliance departments of an investment bank or law firm.
- Good understanding of the UK/EU regulatory environment and relevant regulation including subject matter expertise in relation to: the Market Abuse Regulation and the FCA Handbook
- Good product knowledge
- Independent ability to check and challenge and escalate when appropriate
- Exercises integrity and judgment to influence behaviors
- Ability to spot problems and proactively drive change
- Resilience to change, ability to deal with conflict, adaptability
- Strong verbal and written communication; good interpersonal, influencing, and negotiating skills
- Strong team player
- Ambitious, intelligent and hard-working individual; entrepreneurial self-starter
- Reliable, dependable, accountable Strong analytical skills – thorough with a good eye for detail
- Able to identify potential conduct issues, develop strategies to mitigate risk and escalate as appropriate
- Developing business judgment and commercial awareness
- Relevant product knowledge and a keen interest in developing this further
Essential Skills/Basic Qualifications:
- Track record of experience in Compliance or another control function of an investment bank
- Exposure to advising the Front Office and strong knowledge of ‘over-the-counter’ derivatives products will be advantageous
- Experience in any of the following duties will also be advantageous: developing Compliance policy, assessing conduct risk, considering potential conflicts of interest, implementing Compliance procedures, developing and delivering Compliance training, monitoring, review of products or transactions, and conducting investigations
Desirable skills/Preferred Qualifications:
- Academic and professional qualifications: University degree or equivalent. A relevant professional qualification such as compliance, legal, accountancy, investment trading/sales, or operations will be advantageous
- Language skills: Not required, although fluency or business-level understanding of major languages of the EME region will be advantageous
Barclays is a British universal bank. They are diversified by business, by different types of customers and clients, and by geography. Their 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 their service company which provides technology, operations, and functional services across the Group.
We are an equal opportunity employer and we are opposed to discrimination on any grounds.
Dynamic working gives everyone at Barclays the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager.
Everything Barclays does is shaped by the five values of Respect, Integrity, Service, Excellence and Stewardship. Their values inform the foundations of their relationships with customers, clients, employees, and contractors.
Barclays aims to foster a culture where individuals of all backgrounds feel confident in being themselves, feel included and empowered to add value.
We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment 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. 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.