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Business Oversight Compliance (BOC) activities for Barclays Europe (BE) focus on monitoring compliance with relevant Laws, Rules and Regulations (LRR) across COO & Functions, in line with the Compliance operating model. Key activities include the provision of detailed compliance advice, effective compliance challenge, and proactive compliance risk management across BE Operations and Functions. This VP role leads on specific projects and initiatives within a busy team, attending committees and project meetings and taking ownership for the delivery of assigned core BOC activities. These include oversight and governance forums, compliance breach and issue management, compliance risk escalations, compliance‑themed reviews, coordination of compliance risk assessments, and contribution to the team’s annual planning and prioritisation. The role also supports ongoing EU regulatory implementation and change, coordinating Compliance input across technical regulatory areas such as Outsourcing, DORA, and Trade and Transaction Reporting (including EMIR, SFTR, MiFIR and MMSR). Responsibilities also include the delivery of Compliance training and representation of BE Compliance at key industry forums as required.
Job Responsibility:
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 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
Requirements:
Extensive experience in Compliance and the delivery of Compliance training and representation of BE Compliance at key industry forums
Experience working within an EU-regulated firm, and a recognised compliance qualification (e.g. LCI)
Strong stakeholder management skills to support effective collaboration with Operations and Functions