VP, Control Room 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 full spectrum of solutions to their strategic advisory, financing and risk management needs. Barclays Capital has offices around the world, employs over 23,000 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 Compliance Department is responsible for the creation and implementation of appropriate regulatory policies and procedures for all Barclays Capital businesses, for the provision of related training and advice, for the monitoring and review of all business activities to measure Compliance with policies and procedures, for undertaking enforcement and sanctions activity and for the management of Barclays Capitals relationship with all of its regulators.

Main Function

Assist the US Control Room with the following daily responsibilities listed below.

Main Duties

Main Responsibilities

· The establishment and maintenance of Chinese Walls throughout organisation

· Advise public and private side management with respect to Chinese Wall crossing requests

· Performing core Control Room functions relating to investment banking and research related matters

· Review and approve equity and debt research reports against the Watch and Restricted List and to verify that conflict of interest disclosures are made where appropriate.

· Undertake 138/139 analyses to confirm presence of US distribution safe harbors in offerings.

· Chaperone communications between equity research personnel and banking personnel and advise research and banking personnel about the equity research settlement and appropriate interaction.

· Assist in advising research analysts on transaction related research restrictions, with respect to duration and nature of restriction.

· Work closely with the London, Hong Kong and Tokyo Control Rooms

· Assess Investment Banking deals from a materiality standpoint and determine applicability for Watch Restricted Lists.

· Advise Sales and trading personnel with respect to Restricted List prohibitions, including the applicability of relevant U.S. securities laws

· Assist in preparation of policies, procedures and guidelines on all of above issues

· Assist in preparation and presentation of training material for all of above issues

· Liaising with Global Control Room staff to ensure uniformity of the above *LI

Person Requirements

Basic Qualifications:

· Bachelors degree or foreign equivalent

· 5+ Years experience in a Control Room or Research Compliance Capacity

· Must have knowledge of FINRA Rule 2711 and the Equity Research Settlement and global regulations relating to investment research and conflict management with a Broad understanding of US Securities laws

Preferred Qualifications:

· Law degree

· Provide input and suggest enhancements to current processes, define problems, find solutions through interpretative and evaluative thinking

· Excellent communication skills both written and oral

· Assertive and confident manner with an investigative nature

· PC literate, Team player