Investment Banking Business Oversight Compliance VP

Join us as an Investment Banking Business Oversight Compliance VP, where you will act as a key member of the Investment Banking Business Oversight Compliance Team. The team provides day to day Compliance advisory services to the Investment Banking Division (Coverage /M&A and Capital Markets) of Barclays Corporate and International Bank. In particular, the role focuses on providing advisory support to the ECM, Equity Derivatives, UK Investment Banking, Corporate Broking, and Equity Syndicate teams in EME. You will contribute to the development and implementation compliance policies and standards and ensure the effective implementation of compliance policies and procedures. You will monitor and test compliance frameworks, review products and transactions, and conduct reviews as needed.

To be successful as an Investment Banking Business Oversight Compliance VP, you should have: 

• Track record of experience in Compliance within an Investment Bank

• OR experience commensurate with a senior role gained in a law firm (as an associate/ senior associate solicitor preferably covering ECM and/or M&A) and/or within the Legal or Compliance departments of an investment bank (preferably covering ECM, Equity Derivatives, Syndicate and/or M&A) would be preferred

• Good 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

Some other highly valued skills may include:

• Ability to build considerable relationships with very senior stakeholders

• Academic and professional qualifications: University degree or equivalent. A relevant professional qualification such as compliance, legal, or accountancy will be advantageous

• Sound knowledge and understanding in relation to the UK Takeover Code, UK Listing Rules, the Transparency Rules, the Disclosure Guidance

You may be assessed on key critical skills relevant for success in the role, such as risk and controls, change and transformation, business acumen, strategic thinking and digital and technology, as well as job-specific technical skills.

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.

Vice President Expectations

• To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures..
• If managing a team, they define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements..
• If the position has leadership responsibilities, People 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..
• OR for an individual contributor, they will be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment.
• Manage and mitigate risks through assessment, in support of the control and governance agenda.
• Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does.
• Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies.
• Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions.
• Adopt and include the outcomes of extensive research in problem solving processes.
• Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills 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.