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.
Purpose of role:
Proactive Monitoring/Tracking of Rules and Regulation; Regulatory Adviser to business and compliance stakeholders.
- Proactively review/Monitor/Track/Advise on all regulatory proposals, rules, actions and pronouncements.
- Driver of regulatory change within WIM Americas.
- PMO for rule implementation to the extent changes to the business are needed in light of rule/policy change, drive process from beginning to end
- Required to be the subject matter expert on regulatory changes.
- Liaise with Business to educate on regulatory developments on a real-time Basis
- Host monthly regulatory status meeting with senior management.
- Provide ongoing training to business colleagues regarding regulatory matters.
- Draft and issue monthly WIM Americas Compliance newsletter that summarizes recently issued Compliance policies and procedures, noteworthy regulatory developments and regulatory actions
- Tracking of commitments to regulators and strategic analysis of issues identified
- Provide and coordinate MI/Management reporting for regulatory matters.
- Liaise with Corporate and Investment Banking compliance division on all open regulatory matters pending both inside and outside of Wealth
- Conduct special reviews as directed by Head of Compliance
- Work on special projects and ad hoc reviews as needed(e.g., drive FED deliverables)
- Provide articulate periodic updates on regulatory matters to senior management.
- Policy and Procedure writing as needed
- 10 + years of experience in a regulatory role within financial industry
- 5 + years of experience in project management
- Experience in project management
- Experience with governance committee management
- Knowledge of Compliance processes within a broker dealer/investment advisor
Barclays Investment Bank - 18 months ago
Barclays Bank is the flagship subsidiary of global financial group Barclays PLC. The bank is primarily active in the UK, where it has some...