FREE ACCESS
5,000–10,000 jobs/day
See all jobs on Scoutfield
Search thousands of fresh jobs every day.
Discover
- Fresh listings
- Fast filters
- No subscription required
Create a free account and start exploring right away.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in managing Legal, Regulatory, and Reputational Risk while ensuring compliance with US Securities law and financial regulations. Proficient in evaluating controls, conducting risk assessments, and implementing corrective actions to strengthen internal frameworks.
Highest-signal resume keywords
Compliance Experience in Financial ServicesControl Room ExperienceUnderstanding of Regulatory EnvironmentProficiency in VBA, Tableau, SQL, and/or PythonExcellent English Communication Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk ManagementRegulatory ComplianceData AnalysisControl EvaluationInformation Barrier ManagementMarket Conduct KnowledgeResearch Conflicts ClearanceDocumentation ManagementInvestigation and Root Cause AnalysisPolicy Development
Soft Skills
Detail-OrientedAbility to Meet DeadlinesProactive Problem SolvingConfidence Under PressureInterpersonal Communication
Tools & Technologies
Microsoft Office SuiteVBATableauSQLPython
Industry Keywords
Legal RiskRegulatory RiskReputational RiskMarket AbuseConflicts of InterestSecurities RegulationsFinancial MarketsInside InformationWatch ListsRestricted Lists
Tech Stack
Tools & technologiesPythonSQLTableauVBA
About the role
Key responsibilities & impact- Manage Legal, Regulatory and Reputational Risk across all lines of business
- Manage Market Abuse and potential Conflicts of Interest through Information Barriers and Regulatory Insider Lists
- Operate and maintain Watch Lists and Restricted Lists
- Evaluate controls related to banking activities, Information Barrier Controls, and the flow of MNPI
- Trigger downstream controls within Monitoring and Surveillance
- Implement Research Conflicts Clearance under US Securities law requirements
- Monitor and evaluate risks arising from business activities, regulatory changes, and internal control requirements
- Investigate and analyze reported control breaches, identify root causes, and determine impact on the bank
- Implement corrective actions and strengthen internal control frameworks
- Maintain documentation of control room activities, risk assessments, investigations, and corrective actions
- Develop and implement procedures for information-barrier incidents and potential breaches
- Maintain records of Inside Information, Watch Lists, Restricted Lists, and Wall Crossings
- Support APAC Private Side & Research Compliance and Business Oversight Compliance work
- Review issues involving Investment Banking and Research businesses
- Conduct verification checks, training, and risk assessments
- Advise on and provide check and challenge of business initiatives
- Advise and influence decision-making and contribute to policy development
- Collaborate with business divisions and other functions
- Lead complex assignments or a team, set objectives, coach employees, and appraise performance where applicable
- Consult on complex issues and advise People Leaders on escalated issues
- Identify risk mitigation opportunities and develop policies and procedures
- Manage risk and strengthen controls
- Analyze data from multiple internal and external sources to solve problems
- Communicate complex and sensitive information and influence stakeholders to achieve outcomes
Requirements
What you’ll need- University graduate (or higher)
- Solid Compliance experience in financial services
- Relevant Control Room experience
- Strong understanding of information control and conflicts of interest issues
- Understanding of the current regulatory environment and financial markets and/or securities regulations and rules, including Market Conduct and research settlement rules
- Proficiency in all Microsoft packages and aptitude with IT systems
- Detail-oriented and ability to meet deadlines in challenging situations
- Excellent English communication skills, orally and in writing
- Advanced command of concepts and procedures
- Ability to interact with all levels of personnel
- Confidence to uphold Compliance positions under pressure
- Proactive and willing to take on issues/responsibilities requiring focus and determination
- Proficiency with VBA, Tableau, SQL, and/or Python (preferred)
- Chinese language skills (preferred)
- Must have Legal Right to Work in the applicable role location
- Must declare Barclays-sponsored visa or sponsorship requirements
Benefits
Comp & perks- Barclays Values of Respect, Integrity, Service, Excellence and Stewardship
- Barclays Mindset of Empower, Challenge and Drive
- Coaching and performance appraisal/reward outcomes for team members in leadership roles