Control Room Surveillance - Assistant Vice President

Join us as a Control Room Surveillance - Assistant Vice President, where you will play a critical role in safeguarding market integrity and ensuring adherence to regulatory and internal policies. In this position, you will be part of the Control Room Surveillance team, working to monitor and analyze market activity for signs of abuse or manipulation, manage conflicts of interest, oversee insider information, and maintain watchlists. This is a strategic role that supports both day-to-day alert reviews and broader optimization initiatives in partnership with the global team. You will also contribute to a planned transformation program, helping drive innovation and operational excellence across control room functions.

To be successful as a Control Room Surveillance- Assistant Vice President you should have:

• Understanding of Control Room Surveillance responsibilities, including knowledge of insider information handling, conflicts of interest, and watchlist management

• Ability to monitor and analyze market activity to detect and escalate potential misconduct, ensuring adherence to regulatory and internal requirements

• Experience in regulatory compliance, investigations, and market abuse surveillance within the financial services sector

Some other highly valued skills may include:

• Ability to collaborate cross-functionally, working closely with technology teams, stakeholders, and global partners

• Communication and stakeholder management skills, with experience delivering process improvements and optimization initiatives

• Familiarity with control room operations and transformation projects is a plus

This role is located in Whippany, NJ.

Minimum Salary: $110,000

Maximum Salary: $135,000

The minimum and maximum salary/rate information above includes only base salary or base hourly rate. It does not include any other type of compensation or benefits that may be available.

Barclays employees are eligible for a suite of competitive and generous employee benefits, including medical, dental and vision coverage, 401(k), life insurance, and other paid leave for qualifying circumstances.

This position is eligible for an incentive award.

Purpose of the role

To monitor and analyse market activity for potential signs of abuse or manipulation, verifying that there is adherence to regulatory requirements and internal policies and taking action to mitigate market misconduct. 

Accountabilities

• Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct.
• Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.
• Business support in projects related to the firm’s market surveillance framework.
• Regulatory query and internal/external audit support.
• Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends.
• Execution of appropriate controls aligned to the Barclays control framework and related firm-wide standards.
• Control environment support in relation to data quality, model effectiveness and efficiency.

Assistant Vice President Expectations

• To advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness. Collaborate closely with other functions/ business divisions.
• Lead a team performing complex tasks, using well developed professional knowledge and skills to deliver on work that impacts the whole business function. Set objectives and coach employees in pursuit of those objectives, appraisal of performance relative to objectives and determination of reward outcomes
• If the position has leadership responsibilities, People 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.
• OR for an individual contributor, they will lead collaborative assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will identify new directions for assignments and/ or projects, identifying a combination of cross functional methodologies or practices to meet required outcomes.
• Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
• Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.
• Take ownership for managing risk and strengthening controls in relation to the work done.
• Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.
• Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.
• Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.
• Influence or convince stakeholders to achieve outcomes.

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.