US Head of eTrading Business Oversight Compliance

Company: Barclays
Location: New York
Posted on: February 16, 2025

Job Description:

Salary / Rate Minimum: $200,000Salary / Rate Maximum: $280,000The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any another type of compensation or benefitsJoin Barclays as US Head of Electronic Trading Business Oversight (BOC) Compliance, where you will lead the US Electronic Compliance team and be responsible for providing oversight of the Electronic Trading business including our Quantitative Analytics Team within Global Markets. You will provide expert advice on algorithmic trading matters with senior business and Technology stakeholders, showcasing your strong rules and regulations knowledge.To be successful as a Director, US Head of Electronic BOC, you should have experience with:

• Significant understanding of US Laws and Regulations, including SEC 15c3-5, SEC Regulation ATS, and FINRA Rule 5310
• Identifying and assessing compliance risks specific to the electronic trading business
• Significant understanding of market structure and financial products across asset classes
• Ability to understand the technical aspects of trading, including system architecture, trading flow structures, and proper control design and implementation
• Providing guidance to senior members of Business, Technology, and Compliance Management on compliance issues
• Leading and managing a teamSome other highly valued skills may include:
  • Ability to multitask in a fast-paced environment
  • Proven verbal and written communication abilities
  • Attention to detail and problem-solving mindsetPurpose of the roleTo 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.Accountabilities
    • Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
    • 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 and ensuring that the bank's internal policies are aligned with international standards, including jurisdictional requirements.
    • Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
    • Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.Director Expectations
      • To manage a business function, providing significant input to function wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide..
      • They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
      • Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
      • Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
      • Escalates breaches of policies / procedure appropriately.
      • Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
      • Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
      • Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
      • Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
      • Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
      • Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
      • Negotiate with and influence stakeholders at a senior level both internally and externally.
      • Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
      • Mandated as a spokesperson for the function and business division.All Senior Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L - Listen and be authentic, E - Energise and inspire, A - Align across the enterprise, D - Develop others.All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship - our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset - to Empower, Challenge and Drive - the operating manual for how we behave.
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Keywords: Barclays, New York , US Head of eTrading Business Oversight Compliance, Other , New York, New York