Date live:20/08/2025
Business Area:Compliance
Area of Expertise:Compliance
Contract:Permanent
Reference Code:JR-0000068500
Join us as an Investment Banking Business Oversight Compliance VP, where you will act as a key member of the Investment Banking Business Oversight Compliance Team. The team provides day to day Compliance advisory services to the Investment Banking Division (Coverage /M&A and Capital Markets) of Barclays Corporate and International Bank. In particular, the role focuses on providing advisory support to the ECM, Equity Derivatives, UK Investment Banking, Corporate Broking, and Equity Syndicate teams in EME. You will contribute to the development and implementation compliance policies and standards and ensure the effective implementation of compliance policies and procedures. You will monitor and test compliance frameworks, review products and transactions, and conduct reviews as needed.

To be successful as an Investment Banking Business Oversight Compliance VP, you should have:

• Track record of experience in Compliance within an Investment Bank
• OR experience commensurate with a senior role gained in a law firm (as an associate/ senior associate solicitor preferably covering ECM and/or M&A) and/or within the Legal or Compliance departments of an investment bank (preferably covering ECM, Equity Derivatives, Syndicate and/or M&A) would be preferred
• Good understanding of the UK/EU regulatory environment and relevant regulation including subject matter expertise in relation to the Market Abuse Regulation, MIFiD and the FCA Handbook

Some other highly valued skills may include:

• Ability to build considerable relationships with very senior stakeholders
• Academic and professional qualifications: University degree or equivalent. A relevant professional qualification such as compliance, legal, or accountancy will be advantageous
• Sound knowledge and understanding in relation to the UK Takeover Code, UK Listing Rules, the Transparency Rules, the Disclosure Guidance

You may be assessed on key critical skills relevant for success in the role, such as risk and controls, change and transformation, business acumen, strategic thinking and digital and technology, as well as job-specific technical skills.

ACCOUNTABILITIES

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
• 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.

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities.