VP, Securitized Product Business Oversight Compliance

About the role

Barclays is hiring a Vice President for Securitized Product Business Oversight Compliance in New York. The role provides expert, data-led oversight of securitized product activities, including trading, structuring and origination, and challenges them against legal, regulatory and firm-wide compliance standards. It works closely with business and control partners, applying knowledge of U.S. securities regulations (FINRA/SEC) and market structures.

Key responsibilities

• Identify and assess compliance risks in securitized product distribution, trading, structuring and origination through reviews of business activities, changes, processes, testing and systems.
• Investigate potential market abuse, including insider dealing, unlawful disclosure, market manipulation and anti-competitive conduct, and investigate compliance risk events or breaches.
• Oversight and challenge of corrective actions and preventative measures to avoid future occurrences.
• Implement compliance policies and procedures in line with regulatory requirements and align internal policies with international and jurisdictional standards.
• Collaborate with 1LOD, other compliance teams, legal and risk management functions.
• Identify, investigate and oversee potential money laundering, terrorist financing and other financial crime.
• Contribute to or set strategy, plan resources and budgets, manage policies and processes, and advise stakeholders and senior management.

Required profile

• Understanding of U.S. laws, rules and regulations on securities (FINRA/SEC), derivatives (CFTC) and loans.
• Ability to identify and assess compliance risks specific to securitized product activities.
• Understanding of the market structure for securitized products.
• Experience working productively within a global compliance team.
• Attention to detail, ability to multitask in a fast-paced environment, and excellent verbal and written communication.

The position is permanent and based in New York, with a stated salary range of $145,000 to $200,000.