VP, Compliance Advisor
Barclays Capital - Chicago, IL

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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 Duties
The Compliance Advisory Group (“CAG”) group and this particular individual will provide sales practice guidance as well as the interpretation of rules and regulations to Branch Admin Managers, Regional Office Managers, and Business Control to mitigate risk and limit sales practice violations and enforce a program that complies with both internal and external regulatory expectations relating to the Securities Industry.

Core Accountabilities:
  • Directly cover branches, providing sales practice guidance as well as the interpretation of rules and regulations to mitigate risk to Investment representatives, Sales Assistants, Branch Administrative Managers, and Regional Office Managers.
  • Provide compliance oversight to supervisory functions.
  • Perform a quarterly review for each of the branches they directly support by completing a structured template and discuss the observations and other relevant information with the Regional Office Manager and Branch Admin.
  • Write and maintain Compliance procedures.
  • Work with Business Control and Operational Risk to ensure that there are proper controls in place to limit sales practice issues.
  • Coordinate Compliance Reviews with the Compliance Monitoring and Control Team.
Additionally, this person may be called upon to assist in any of the following responsibilities CAG currently performs; Client Communication/ Review of marketing material, Sponsorship of the Annual Compliance Meeting, Sponsorship of the Supervisory Control Person Program, Policy and Procedure Committee participation, Compliance RCA, Induction Training, Compliance SLA, Special Projects and Reviews, and Investigations.

Person Requirements
Basic Qualifications:
  • BA/BS degree
  • 10 + years of regulatory/advisory compliance experience
Preferred Qualifications
  • Series 7, 63, 66, 8, 9, 10
  • Cross Border experience
  • Bilingual English/Spanish preferred

Barclays Investment Bank - 20 months ago - save job - block
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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...