Securitized Product Business Oversight Compliance - Vp

Barclays

New York, United States
Base: $145,000 - $200,000; bonus/equity: not speci...
Securitized product compliance
Market abuse investigation
Regulatory compliance
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

Job Summary

  • 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.
  • Identify and assess compliance risks through thorough reviews of business activities, changes, processes, testing and systems, and investigate potential market abuse, insider dealing, unlawful disclosure, market manipulation or anti-competitive conduct.
  • 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.

Matching Summary

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.

Salary

Base: $145,000 - $200,000; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Securitized product compliance
  • Market abuse investigation
  • Regulatory compliance
  • Risk assessment and mitigation
  • US securities regulations (FINRA/SEC)

Nice-to-have

  • Problem-solving mindset
  • Attention to detail
  • Ability to multitask
  • Excellent communication skills
  • Collaborative approach

Key Requirements

  • Understanding of US Laws, Rules and Regulations (FINRA/SEC, CFTC)
  • Experience with securitized product activities
  • Knowledge of market structure for securitized products

Work Rights

Not specified

Tailored Resume

Cover Letter