Director – EME Investment Research

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Join Barclays as a Director in the Legal Function supporting the Investment Research Business within the Barclays Corporate and Investment Bank. You will act as a trusted advisor to senior stakeholders, providing expert advice on a range of matters relevant to the Investment Research Business including new product development, legal issue identification and regulatory horizon scanning.

To succeed in this role, you should:

Have extensive experience as a financial services lawyer, with extensive knowledge of institutional investment research and data/content services.

Be well-versed in laws and regulations relevant to the production and dissemination of investment research and data/content services, including the UK and EU Market Abuse Regulation, MIFID II, and other equivalent global regulatory regimes.

Demonstrate the ability to provide technical and pragmatic legal advice on complex cross-border matters.

Be comfortable with standard legal documentation relevant to a global investment research business (including Research Service Agreement, Trading Terms of Business, IP/Licensing arrangements, intra-group agreements and data vendor agreements).

Have knowledge of global trading business and the relationship between investment research and wider investment banking services.

Purpose of the role

To ensure that the activities of the Investment Research Business are conducted in compliance with applicable laws, rules and regulations, and to help the bank manage legal risk associated with these activities. 

Accountabilities

• Development and implementation of best practice legal strategies to manage compliance with applicable laws, rules and regulations.
• Provide legal advice and support to the Investment Research Business on matters arising from the relevant products/services provided by the Investment Research business .
• Act as subject matter support in the Legal department’s representation of the bank in legal proceedings related to the Investment Research Business such as litigation, arbitration, and regulatory investigations.
• Creation and review of legal documents for Investment Research business to ensure the bank’s compliance with applicable laws, rules and regulations. Maintaining and updating template legal documentation for the Investment Research Business.
• Conduct legal research and analysis to stay up to date on changes in applicable laws, rules and regulations that may impact the activities of the Investment Research Business.
• Develop and deliver training programmes to educate employees on legal and regulatory requirements related to the activities of the Investment Research Business.
• Pro-active identification, communication, and provision of legal advice on applicable laws, rules and regulations (LRRs). Keeping up to date with regards to changes to LRRs in the relevant coverage area. Ensuring that LRRs are effectively allocated to, and adequately reflected within, the relevant policies, standards and controls.

Director Expectations

• Contribute to and influence policy and procedures for the legal function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide.
• Lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. Train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions.
• Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
• Manage, coordinate and enable resourcing, budgeting and policy creation for the legal function and Investment Research legal team.
• Escalates breaches of policies / procedure appropriately.
• Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
• Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
• Demonstrate extensive knowledge of how the Legal function integrates with the Investment Research Business to achieve the overall business objectives.
• Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
• Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
• Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
• Negotiate with and influence stakeholders at a senior level both internally and externally.
• Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
• Mandated as a spokesperson for the function and the Investment Research Business.

All Senior Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.

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.