Central Compliance Officer
Barclays Capital - New York, NY

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Barclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in over 50 countries and employ over 140,000 people. We provide large corporate, government and institutional clients with a full spectrum of solutions to their strategic advisory, financing and risk management needs. Our clients also benefit from access to the breadth of expertise across Barclays. We’re one of the largest financial services providers in the world, and are also engaged in retail banking, credit cards, corporate banking, and wealth and investment management.

For further information about Barclays, please visit our website www.barclays.com .

It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.

Main Function
The main function of the role is to lead the implementation of the target operating model and establishing new Business As Usual (BAU) procedures for the various groups within Central Compliance. The functions of the Central Compliance team at Barclays includes: Licenses and Registrations, Personal Account Dealings, Private Investments, Outside Affiliations, Gifts and Entertainment, E-Communications Surveillance, Information Risk Management (Records Management, Data Privacy, E-Discovery and Large Holdings) and Compliance Breach & Escalation Management. Examples of the new BAU procedures include:
  • Establishing risk based metrics
  • Conducting assurance testing of each function
  • Maintain data in the systems (business signatories for functions that require approvals)
  • Maintaining consistent procedures across the functions
  • S upporting the Breach Evaluation and Consistency Committee
  • Monitor systems access

Main Duties
  • Assist manager in executing the Central Compliance strategic target operating model.
  • Develop and execution and documentation of testing across various Central Compliance functions including Gifts & Entertainment, Personal Investment activities, Outside Affiliations, Registrations, E-Communications, Records Management and Data Privacy.
  • Manage and test usage of issue tracking system for Central Compliance functions.
  • Maintain/track and report on progress of Central Compliance tasks and processes to ensure timely completion.
  • Provide data quality/consistency oversight of Central Compliance data within firm’s issue tracking system.
  • A ssist in creation and management of supervisory mappings for Central Compliance functions.
  • Assist with the delivery of monthly Central Compliance management information reporting to business and provide quality control reviews and commentary.
  • E valuate data in systems (Breach Repository) and identify potential businesses with elevated risk profiles

Person Requirements
Basic Qualifications :
  • 4-year undergraduate degree or equivalent
  • 5+ years of experience in financial services
  • 4+ years of experience in Compliance
  • Experience in all MS applications, especially Excel, PowerPoint and Word.
Preferred Qualifications :
  • Prior experience in compliance specifically in related functions
  • Law degree
  • Excellent written and oral communication skills
  • Unquestionable ethics and integrity
  • Ability to confront conflict and difficult issues in a professional, assertive and proactive manner while remaining sensitive to business needs.
  • Strong organizational and project management skills
  • Strong attention to detail
  • Confident
  • Demonstrated ability to influence and work effectively with employees at all levels
  • Self starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment
  • Experience with MS Project and SharePoint including establishing and maintain pages, access permissions and workflows

Barclays Investment Bank - 2 years ago - save job
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...