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PBOS UK Advisory Compliance VP - Investments

London, United Kingdom | Barclays

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Financial Services Professional
    Legal / Compliance
  • Experience:
Job Description:
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The role holder will work with a team of expert colleagues in supporting the Private Bank & Overseas Services division.The role holder will provide focused compliance support to Sales, Trading (Capital Markets and Direct Access) and fund sub-management within PBOS, on top of general compliance advisory support to the PB&OS businesses as a whole.

What we’re looking for:

Consistently demonstrate behaviour in line with the Barclays Values (Respect, Integrity, Service, Excellence, Stewardship)

Act as a culture carrier and role model for others in the team, leading by example

University degree or an UK professional qualification would be an advantage

Experience commensurate with a VP role gained in financial firm or within the Legal or Compliance or Control departments of an investment bank, asset management, or wealth manager

Sound knowledge and understanding in relation to the UK FCA Handbook

Good understanding of the UK/EU regulatory environment and relevant regulation includingsubject matter expertise in relation to: the Market Abuse Regulation, MIFiD, PRIIPs, EMIR, Client Money, and Transaction Reporting

Good investment product knowledge desirable and a keen interest in developing this further

Independent ability to check and challenge and escalate when appropriate

Ability to exercise integrity and judgment to influence behaviours

Resilience to change, ability to deal with conflict, adaptability

Strong verbal and written communication; good interpersonal, influencing, and negotiating skills

Strong team player

Ambitious, intelligent and hardworking individual; entrepreneurial self-starter

Reliable, dependable, accountable

Strong analytical skills – with a good eye for detail

Able to identify potential conduct issues, to develop strategies to mitigate risk and to escalate as appropriate

Developing business judgment and commercial awareness


Skills that will help you in the role:

Providing compliance coverage for sales and trading, and fund sub-management offered by Private Bank businesses

Providing effective second line ‘check and challenge’ to assist Private Bank businesses in meeting its conduct and regulatory obligations

Advising on regulatory requirements including but not limited to: the FCA Handbook, MAR, MiFID, PRIIPs, EMIR, Client Money, and Transaction Reporting

Review product documentation and offering material, and work on regulatory programmes affecting the businesses

Provide guidance and advice on the product development, product launches and modification across the Capital Markets and Direct Access businesses

Ensure a robust product governance environment in line with regulatory requirements through attending internal governance meetings and working groups. 

Keep abreast of all relevant new regulatory developments, and work with the business and/or project teams to interpret their impact and deliver key changes

Providing subject matter expertise in relation to investment products in terms of distribution obligations to retail and professional clients in the UK and on a cross-border basis

Leading compliance support in the interpretation and implementation of new regulation

Reviewing marketing materials

Developing and delivering training on the relevant topics

Liaising with other control functions (for example Audit) to assess regulatory risk and impact

Advising on firm policies and procedures

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