AVP Americas Chief Compliance Office

Job Description Purpose of the role To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. Accountabilities Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to. Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct. Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences. Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank's internal policies are aligned with international standards, including jurisdictional requirements. Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management. Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime. Assistant Vice President Expectations Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues. Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda. Take ownership for managing risk and strengthening controls in relation to the work done. Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function. Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy. Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively. Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience. Influence or convince stakeholders to achieve outcomes. All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship - our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset - to Empower, Challenge and Drive - the operating manual for how we behave. As a Barclays Americas Chief Compliance Office AVP, you will be assisting the Director in supporting the Americas CCO by developing management information and insights pertaining to monitoring the firm's adherence with laws and regulations in which Compliance provides second line oversight. To be successful as an Americas Chief Compliance Office AVP, you should have experience with: - Laws Rules and Regulations (LRR) risk governance and oversight - MI reporting - US regulatory requirements, including broker-dealer requirements Some other highly valued skills may include: - Experience within the Compliance department of an investment bank - Experience in assisting in US regulatory exams - Ample stakeholder management You may be assessed on the key critical skills relevant for success in role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills This opportunity is located in New York Minimum Salary: $100,000 Maximum Salary: $135,000

Created: 2024-10-22