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Americas Chief Compliance Office AVP
| Company | Barclays |
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| Location | New York, NY, USA |
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| Salary | $100000 – $135000 |
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| Type | Full-Time |
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| Degrees | |
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| Experience Level | Senior |
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Requirements
- Experience with supporting an effective approach to governance and oversight through the development of quality MI relating to monitoring with relevant LRRs
- Experience working with stakeholders to assist with the embedding of LRR Risk governance and oversight within Compliance
- Experience identifying and escalating, through reporting or other means, potential Compliance and Reputational risks
- Experience assisting in the response effort for US regulatory exams and engaging with stakeholders as necessary
- Experience participating in Technical Compliance activities and engaging in internal risk management activities and identifying opportunities for continuous process improvement
Responsibilities
- Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems
- Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct
- Conduct investigation of compliance risk events or breaches
- Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences
- Implementation of compliance policies and procedures in line with regulatory requirements
- Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions
- Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime
Preferred Qualifications
No preferred qualifications provided.
