ETCM Analyst recruitment
Department Overview
Barclays Capital is the investment banking division of Barclays Bank PLC. With a distinctive business model, Barclays Capital provides large corporate, government and institutional clients with a comprehensive set of solutions to their strategic advisory, financing and risk management needs. Barclays Capital has offices around the world, employs over 20,000 people and has the global reach, advisory services and distribution power to meet the needs of issuers and investors worldwide.
For further information about Barclays Capital, please visit our website www.barclayscapital.com.
It is the policy of Barclays Capital to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.
The key function of Barclays Capital Equity Trading Conformance Management "ETCM" is to work within the Institution Equity Division to identify and manage systemic supervisory/regulatory risk worldwide. This includes advising the business and its management in relation to the application of particular internal rules, policies and procedures.
Main Function
- The person will be part of the global COO's office and will have US specific coverage responsibility. However, this individual will be expected to work with global team members.
- Help administer a sustainable program to help identify potential gaps and/or deficiencies in the equities trading infrastructure.
- Conduct a front to back review of existing trade flows, order markers, and trade reporting flags.
- Integrate self into the change management and NPA processes.
- Significant involvement in decision making process when changes occur that have business, exchange, policy, or market rule impact (reg rules, significant systems enhancements, new/modified trade flows).
- Continuous review and testing of trading platforms and their associated controls. Assist in development and rollout of additional policies/procedures/controls as needed.
- Make implementation suggestions related to policies and procedures to ensure that Barclays is in a position to effectively respond to the ever changing regulatory and market environment.
- Proactively identify gaps and weaknesses and suggest corrective action plans to remediate them. Will take active role in the remediation effort including process design, creation and implementation.
- Assist in the implementation of new regulatory initiatives as appropriate.
- Ownership for data quality as related to execution databases (used for trade reporting, surveillance, inquiries, etc).
- Significant partnership with Compliance.
- Form key partnerships with the COO team, Audit, Operational Risk, Finance, IT, Operations, Legal, and other important infrastructure groups.
Person Requirements
Basic Qualifications
Bachelors degree
Preferred Qualifications
Ideal candidate will have exceptional organizational skills and a high degree of attention to detail, be technology conversant, and possess the business knowledge and practicality needed TO DELIVER on practical solutions to front office problems in the real world of trade-offs and limited resources.