Compliance Control Room Specialist

Compliance Control Room Specialist - AVP Embark on an exciting opportunity as a member of the Compliance Control Room team, where the key objective of the role includes Control Room and Conflicts Management functions as set out below. The Compliance Control Room is responsible for managing Conduct and Reputational Risk across all lines of business. This involves business‑critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists. As a member of the APAC Private Side & Research Compliance team, you will also play a key role supporting Business Oversight Compliance work such as reviewing issues involving Investment Banking and Research businesses, verification checks, training, risk assessments, and advising on and challenging business initiatives. Purpose of the role To manage Legal, Regulatory and Reputational Risk across all lines of business. This involves business‑critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists. Accountabilities Evaluation of controls related to various banking activities, advisory services provided in relation to Information Barrier Controls and the flow of MNPI. Monitoring and evaluation of potential risks arising from various business activities, regulatory changes, and internal control requirements. Investigation and analysis of reported control breaches, identification of root causes, and determination of the extent of the impact on the bank. Implementation of corrective actions to address identified control breaches, prevent recurrence, and strengthen internal control frameworks. Maintenance of comprehensive and up‑to‑date documentation of control room activities, including risk assessments, investigations, and corrective actions. Development and implementation of procedures for responding to and managing incidents or potential breaches of information barriers. Maintenance of accurate records of Inside Information, Watch List, Restricted list and Wall Crossings to ensure internal controls and risk management processes are effective. Essential Skills / Basic Qualifications University graduate (or higher) with solid Compliance experience in financial services, with relevant Control Room experience. Strong understanding of information control and conflicts of interest issues, current regulatory environment, financial markets, and securities regulations and rules including Market Conduct and research settlement rules. Proficiency in all Microsoft packages and aptitude with IT systems. Detail‑oriented and ability to meet deadlines in challenging situations. Excellent English communication skills, both oral and written, with ability to articulate problems, issues and proposals effectively and with an advanced command of concepts and procedures. A good team player with the ability to interact with all levels of personnel and confidence to uphold Compliance positions under pressure. Desirable Skills / Preferred Qualifications Proactive and willing to take on issues/responsibilities that require focus and determination. Proficiency with VBA, Tableau, SQL, and/or Python. Chinese language skills. Barclays is required by law to confirm that you have the Legal Right to Work in any role that you apply for. If you currently hold a work visa sponsored by Barclays, or you would require sponsorship from Barclays, you must declare this as part of your application. Sponsored visas are role and entity specific, and any changes must be reviewed. It is important that you ensure you are working on the correct visa at all times. Failure to accurately disclose your visa status or Legal Right to Work may result in your application or any employment offer being withdrawn at any time. 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. #J-18808-Ljbffr