Regulatory Liquidity Rules Oversight Job at Barclays (Northampton)

Balance Sheet Management Lead Analyst

The Liquidity Management Lead Analyst is an individual contributor position with...

Location

Singapore , Singapore

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

6-10 years of experience
knowledge of MAS reporting (financial, liquidity or risk) is desirable
good understanding of how areas integrate within the sub-function/sub-business and contribute to the objective of the entire function/business
ability to guide, influence and convince others, typically colleagues/peers in other areas
responsible for volume, quality, timeliness and delivery of end results of an area
ability to deal occasionally with complex and variable issues
ability to perform detailed analysis of issues and determine best course of action
Bachelor's/University degree, Master's degree preferred

Job Responsibility

Support the monitoring and execution of Liquidity Risk Reporting, Methodology and Models - enhance processes and drive automation
Use subject matter expertise for the management and Monitoring of Liquidity - Support the team in oversight, Monitoring and Managing of Liquidity Attribution and BCBS compliance
Assist with implementing and enhancing Liquidity Policies and Standards including Calibration of Triggers, Limits, Thresholds and Indicators
Assist in leading the firm’s liquidity regulatory reporting oversight and initiatives
Work with key stakeholders to ensure production and regulatory submission of the Firm’s key liquidity reports including LCR, NSFR, and other key reports
Assist with the design and execution of Strategic Liquidity reporting target operating model
Performs other duties and functions as assigned
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of teams and create accountability with those who fail to maintain these standards

What we offer

Citi provides programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential counseling and more
We empower our employees to manage their financial well-being and help them plan for the future
Citi provides access to an array of learning and development resources to help broaden and deepen your skills and knowledge as your career progresses

Fulltime

Liquidity Management Intermediate Analyst

The Liquidity Management Intermediate Analyst is an analyst position within the ...

Location

Philippines , Taguig City

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

2-5 years relevant experience
Good understanding of how areas integrate within the sub-function/sub-business and contribute to the objective of the entire function/business
Ability to guide, influence and convince others, typically colleagues/peers in other areas
Responsible for volume, quality, timeliness and delivery of end results of an area
Ability to deal occasionally with complex and variable issues
Ability to perform detailed analysis of issues and determine best course of action

Job Responsibility

Assist in helping the team drive and execute Intraday Liquidity
Contribute in the oversight, Monitoring and Managing of Liquidity Attribution
Involved in implementing and enhancing Liquidity Policies and Standards including Calibration of Triggers, Limits, Thresholds and Indicators
Assist the team lead in the firm’s liquidity regulatory reporting oversight and initiatives
Contribute in the Calculation and Consolidation of Liquidity Balances and Liquidity metrics.
Involved in the analysis and submission of the Firm’s key liquidity reports including FR 2052a, LCR, NSFR, ILST, and other key reports
Performs other duties and functions as assigned
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of teams and create accountability with those who fail to maintain these standards

What we offer

Access to telehealth options, health advocates, confidential counseling
Paid Parental Leave Policy
Resources to manage financial well-being and help plan for the future
Access to an array of learning and development resources
Generous paid time off packages
Resources and tools to volunteer in the communities

Fulltime

Operational Risk - Treasury and Capital Risk

To provide independent review and challenge of the Operational Risk elements of ...

Location

United Kingdom , London

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Detailed technical understanding of current and future Basel 3, CRD IV/CCR rules, with a focus on liquidity requirements
Proven experience in a broad-based banking institution, central bank, prudential regulator or professional services firm, or any combination of these
A track record of dealing with complex transactions, understanding their commercial rationale and applying judgment in the interpretation and application of regulatory requirements
Broad finance knowledge and ability to clearly articulate technical subjects
Skill in building a network across all areas of an organisation, and at all levels of seniority
Capable of providing robust challenge to senior level stakeholders across the business and finance
Strong control mindset, with a thorough understanding of the importance of a robust governance and control structure, and what that means for a Risk function

Job Responsibility

Serve as a central point of expertise and advice within Operational Risk on regulatory liquidity rule requirements for Barclays
including the interpretation and application for complex and strategic transactions
Support risk reviews of regulatory compliance by challenging 1LoD proposals and compliance assessments as Subject Matter Expert
Support targeted Operational Risk reviews focusing on liquidity reporting processes such as implementation documentation, data management/adjustments, oversight of strategic transformation programs and related liquidity risk and reporting model lifecycle activities
Close and effective engagement with lines of business, Risk and Finance and other key stakeholders on regulatory liquidity priorities
Representation at senior management committees, and supporting regulatory and Board engagements
Keep abreast of changes in regulation, accounting standards or guidance, market developments
Risk identification and proactive risk management
Analysis of operational risk data to identify trends, patterns, and emerging risks
Risk-based analysis of business processes, systems, and controls

Fulltime

Operational Risk - Treasury and Capital Risk

To provide independent review and challenge of the Operational Risk elements of ...

Location

United Kingdom , Northampton; Glasgow

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Detailed technical understanding of current and future Basel 3, CRD IV/CCR rules, with a focus on liquidity requirements
Proven experience in a broad-based banking institution, central bank, prudential regulator or professional services firm, or any combination of these
A track record of dealing with complex transactions, understanding their commercial rationale and applying judgment in the interpretation and application of regulatory requirements
Broad finance knowledge and ability to clearly articulate technical subjects
Skill in building a network across all areas of an organisation, and at all levels of seniority
Capable of providing robust challenge to senior level stakeholders across the business and finance
Strong control mindset, with a thorough understanding of the importance of a robust governance and control structure, and what that means for a Risk function

Job Responsibility

Serve as a central point of expertise and advice within Operational Risk on regulatory liquidity rule requirements for Barclays
including the interpretation and application for complex and strategic transactions
Support risk reviews of regulatory compliance by challenging 1LoD proposals and compliance assessments as Subject Matter Expert
Support targeted Operational Risk reviews focusing on liquidity reporting processes such as implementation documentation, data management/adjustments, oversight of strategic transformation programs and related liquidity risk and reporting model lifecycle activities
Close and effective engagement with lines of business, Risk and Finance and other key stakeholders on regulatory liquidity priorities
Representation at senior management committees, and supporting regulatory and Board engagements
Keep abreast of changes in regulation, accounting standards or guidance, market developments
Risk identification and proactive risk management
Analysis of operational risk data to identify trends, patterns, and emerging risks
Risk-based analysis of business processes, systems, and controls

Fulltime

Balance Sheet Management Senior Analyst

The Country Corporate Treasury team in Kuala Lumpur supports Balance Sheet Manag...

Location

Malaysia , Kuala Lumpur

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

At least 5 years of experience in Finance, Treasury or related field
Strong analytical skills
Understanding of financial markets, banking regulations, Basel regulations, liquidity and capital management, and risk management principles
Good working knowledge of assets-liabilities management and balance sheet optimization
Practical experience/strong understanding of liquidity risk reporting such as LCR, NSFR, ILST is highly preferred
Good understanding of transfer-pricing and interest rate risk will be a plus
Proficient Power Point and Excel skills
Seasoned analytical experience is essential
Must possess the ability to apply sound judgment when reviewing output
Critical thinking is essential

Job Responsibility

Participate and provide oversight to internal liquidity reporting requirements
Coordinate closely with various stakeholders to ensure compliance with Liquidity risk management guidelines
Involved in Capital management including ICAAP and RRP
Provide variance analysis and commentaries to both regulatory and internal risk reporting
Actively participate and collaborate with key stakeholders on various deliverables including Country ALCO, Funding and Liquidity Plan, Contingency Funding Plan
Provide oversight to Liquidity Operations Manila team to ensure accurate and timely reporting
Responsible for Corporate Treasury EUC inventory reviews, LRR reviews and MCA deliverables
Support Regional and Global Treasury on key and strategic projects
Strengthen overall liquidity risk management and supervision
Support and coordinate with various stakeholders on user testing and rollout planning

What we offer

Access to telehealth options
Health advocates
Confidential counseling
Learning and development resources
Volunteerism opportunities

Fulltime

Chief Compliance Officer, ETFs - Senior Vice President

iCapital is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Offi...

Location

United States , New York

Salary:

180000.00 - 240000.00 USD / Year

iCapital Network

Expiration Date

Until further notice

Requirements

Bachelor’s degree, Law Degree or MBA is preferred
10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations is also highly desired.
Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
Experience evaluating risk and mapping risk and controls across firm practices
Skilled at developing other team members through mentoring or helping upskill
Able to operate in a fast-paced environment

Job Responsibility

Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
Provide compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical solutions.
Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures.
Lead compliance efforts for ETF launches and product changes from concept through effectiveness and post‑launch execution.
Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
Oversee ETF‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
Conduct pre‑ and post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
Support trading oversight frameworks, including best execution governance and related compliance practices.

What we offer

equity for all full-time employees
annual performance bonus
employer matched retirement plan
generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
parental leave
unlimited paid time off (PTO)
flexibility to work remotely on Friday

Fulltime

Chief Compliance Officer, ETFs - Senior Vice President

iCapital is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Offi...

Location

United States , Greenwich

Salary:

180000.00 - 240000.00 USD / Year

iCapital Network

Expiration Date

Until further notice

Requirements

Bachelor’s degree, Law Degree or MBA is preferred
10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations is also highly desired.
Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
Experience evaluating risk and mapping risk and controls across firm practices
Skilled at developing other team members through mentoring or helping upskill
Able to operate in a fast-paced environment

Job Responsibility

Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
Provide compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical solutions.
Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures.
Lead compliance efforts for ETF launches and product changes from concept through effectiveness and post‑launch execution.
Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
Oversee ETF‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
Conduct pre‑ and post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
Support trading oversight frameworks, including best execution governance and related compliance practices.

What we offer

equity for all full-time employees
annual performance bonus
employer matched retirement plan
generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
parental leave
unlimited paid time off (PTO)

Fulltime

Lead Counsel - Regulatory

The Lead Counsel -Regulatory - Vice President is a senior level position respons...

Location

United Kingdom , Belfast; London

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Relevant industry experience, preferably in financial services
Banking or financial industry experience, including laws related to banking regulations
Comprehensive knowledge of international laws, regulations and practices while staying abreast of regulatory and legal environment, internal policies and industry trends that impact the business
Experience with complex deals, demonstrated ability to analyze issues and develop legal solutions
Effective communication and negotiation skills and ability to build and maintain trusted relationships
Excellent leadership, interpersonal, organizational and relationship management skills
Proven ability to apply sound judgement while managing assignments in a demanding, fast-paced environment
Bar license in good standing to practice law
Juris Doctorate or equivalent law degree

Job Responsibility

Perform legal review, analysis, and ongoing maintenance of global netting and collateral enforceability opinions across multiple jurisdictions
Serve as a primary subject matter expert, providing comprehensive legal advisory services to internal stakeholders on the enforceability and robustness of risk mitigation strategies (including close-out netting and collateral arrangements), and offering expert oversight, ensuring consistency, robustness, and regulatory compliance across multiple geographies and exposure types
Continuously monitor, analyze, and anticipate evolving global financial regulations (e.g., Basel III/ IV, derivatives reforms), including those related to netting, collateral, and capital requirements
Provide interpretation and strategic guidance on the impact of complex prudential regulations (e.g., Basel III/IV, CRR/CRD, EMIR, Dodd-Frank) on netting, exposure measurement, and capital adequacy to key internal stakeholders, ensuring robust and compliant application across various business activities
Manage and coordinate engagements with external legal counsel to procure up-to-date analysis aligned with prevailing market practices and evolving regulatory expectations
Proactively identify, assess, and mitigate legal, regulatory, and reputational risks through close collaboration with internal control and risk management teams, continuous monitoring of legal developments, and active participation in strategic internal projects
Drive capital optimization by providing legal guidance on the structuring and support for netting and collateral arrangements, aiming to maximize capital relief and enhance liquidity for business operations under relevant regulatory frameworks
Support other regulatory matters in respect of which the Risk Management function is a key stakeholder, including sovereign immunity assessment and obligor risk weight assessments under applicable capital rules
Foster robust cross-functional partnerships with Legal, Risk Management, Front Office Business Units (e.g., Trading, Sales), Operations, and Finance teams to seamlessly integrate enforceability determinations into capital calculation methodologies and operational processes
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards

What we offer

Generous holiday allowance starting at 27 days plus bank holidays
increasing with tenure
A discretional annual performance related bonus
Private medical insurance packages to suit your personal circumstances
Employee Assistance Program Pension Plan
Paid Parental Leave
Special discounts for employees, family, and friends
Access to an array of learning and development resources

Fulltime

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