Job Information
Barclays Services Corp. VP, Control Room and Research Compliance Officer (Multiple Positions) in New York, New York
Barclays Services Corp seeks VP, Control Room and Research Compliance Officer in New York, NY (multiple positions).JOB DUTIES:• On behalf of a global financial organization, providing advisory services for Information Barrier Controls and the flow of Material Non-Public Information (“MNPI”). • Analyzing structure of Banking transactions to determine appropriate internal restrictions to impose on Markets and Research when deals are publicly announced.• Reviewing and pre-clearing research reports discussing issuers on the Firm’s internal watch and restricted lists. • Facilitating communications between Research and Banking pursuant to regulatory requirements. • Engaging with senior stakeholders across the Front Office including Markets, Banking, Research, and the Chief Operating Office team in relation to transactions, assimilating and analyzing relevant information to evaluate risks and requirements for preventative and detective controls such as surveillance and research review to manage the Firm’s watch and restricted list. • Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function.• Reviewing and documenting 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 to manage legal, regulatory, and reputational risk. • Investigating breaches of policy and liaising with Business Oversight Compliance and the relevant supervisors as required to issue policy breach notifications and any actions deemed appropriate. • Participating in Control Room projects or regulatory reviews as required, such as technology enhancements, insider lists, procedure updates and assurance reviews requiring Control Room subject matter expertise.REQUIREMENTS: Employer will accept a Bachelor’s degree or foreign equivalent in Business, Finance, Economics, or related field; and Five (5) years of post-baccalaureate progressive experience in the offered position or related occupation in compliance within the financial services industry.RATE OF PAY: $183,290 - $190,000 per year. The minimum and maximum salary/rate information above includes only base salary or base hourly rate. It does not include any other type of compensation or benefits that may be available.CONTACT: Interested applicants should email their resumes to applicants1@barclays.com and reference req #: 00285930 in the subject line.
Minimum Salary: 183290.00 Maximum Salary: 190000.00 Salary Unit: Yearly