AVP, Compliance Analyst
Barclays Capital - New York, NY

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Barclays is a major global financial services provider engaged in personal banking, credit cards, corporate and investment banking, and wealth and investment management. With over 300 years of history and expertise in banking, Barclays moves, lends, invests and protects money for customers and clients worldwide.
As a leading global wealth and investment manager, Barclays provides international and private banking, wealth planning, trust and fiduciary services, investment management, brokerage services and research to private and intermediary clients across the world. Additionally our clients benefit from access to the breadth of personal, corporate and investment banking expertise across Barclays, one of the largest financial services groups in the world.
Our mission is to set a new standard in wealth management by understanding our clients better than anyone else. In pursuit of this objective, we hire and develop only the best people in the industry. We look for talented, tenacious individuals who seek opportunities for self-improvement and career progression. Our long-term agenda can only be achieved through close collaboration and a shared sense of empathy, integrity and trust.

Main Function
The Compliance Analyst within Wealth Americas Compliance is responsible for supporting the Manager of the Proactive Compliance/Policy and Training team on numerous projects, initiatives and communication efforts and for addressing substantive questions and issues.
  • The Compliance department protects the firm and manages risk through the implementation of policies and procedures and monitoring adherence to regulatory requirements and Barclays Capital policies and procedures.
    • The department works with business and infrastructure areas to:
    • Provide guidance on the firm’s applicable regulatory expectations
    • Provide transactional and functional advisory services
    • Facilitate a strong governance framework and controls
    • Assess internal control risk and direct enhancements to mitigate material exposure
  • The department operates in a proactive manner and also responds quickly to address issues that arise.
Core Accountabilities:
  • Responsible to collect information from senior compliance staff and prepare comprehensive management information reporting for Wealth Americas Compliance which will be used by the CCO and delivered to senior management of the firm.
  • Coordinate and prepare strategic agendas which will be used in CCO meetings.
  • Track outstanding action items from strategic meetings and provide periodic updates as needed.
  • Collect metrics from senior compliance staff and prepare reports and trend analysis.
  • Coordination of escalation of Compliance risk and other matters to CCO.
  • Track Compliance Plan requirements and provide periodic progress reports.
  • Maintain strategic documentation for audit purposes.
  • Prepare presentations and reports that will be used by the CCO and delivered to senior management of the firm.
  • Complete ad hoc tactical projects (not otherwise owned by existing personnel)
  • Support coordination and preparation of CCO meetings with senior management of the firm.
  • Provide material support to Policy and Training team by working on policy related projects and co-authoring policies as needed.
  • Analyze departmental procedures and co-author enhancements when needed.
  • Assist in the preparation of training materials.
  • Maintain issues tracking systems and coordinate entries.
  • Support the CCO by preparing the Annual Compliance Report.

Person Requirements
Basic Qualifications:
  • BA/BS Degree
  • 5+ years of experience in Legal or Compliance department for financial services or consulting organization
Preferred Qualifications:
  • Very strong communication and presentation skills, with an eye for detail
  • Experience with management information reporting
  • Exceptional MS Office skills

About this company
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Barclays Bank is the flagship subsidiary of global financial group Barclays PLC. The bank is primarily active in the UK, where it has some...