# Securitized Product Business Oversight Compliance - VP

**Company**: Barclays
**Location**: New York
**Experience**: senior
**Job type**: full-time
**Salary**: $145,000 - $200,000
**Category**: Finance
**Industry**: Finance

**Apply**: https://barclays.wd3.myworkdayjobs.com/en-US/External_Career_Site_Barclays/job/New-York-745-7th-Avenue/Securitized-Product-Business-Oversight-Compliance---VP_JR-0000073090?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_d6a7c479-eeb

## Description

We are seeking a Vice President to join our Securitized Product Business Oversight Compliance team. The successful candidate will provide expert oversight and ensure adherence to legal, regulatory, and firm-wide compliance standards.

The role involves assessing and challenging securitized product activities, including trading, structuring, and origination, while helping to identify and mitigate risks. You will work closely with business and control partners, applying strong knowledge of U.S. securities regulations (FINRA/SEC) and market structures.

Key responsibilities include:

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

- Identification and investigation of potential market abuse, including Insider Dealing, Unlawful Disclosure, Market Manipulation, or Anti-Competitive Conduct

- Conduct investigation of compliance risk events or breaches and oversight of corrective actions and preventative measures

- Implementation of compliance policies and procedures in line with regulatory requirements

- Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions

As a Vice President, you will be expected to:

- Contribute to setting strategy, driving requirements, and making recommendations for change

- Manage and maintain policies/processes, deliver continuous improvements, and escalate breaches of policies/procedures

- Demonstrate leadership and accountability for managing risk and strengthening controls

- Collaborate with other areas of work to keep up to speed with business activity and strategies

- Create solutions based on sophisticated analytical thought, comparing and selecting complex alternatives

Requirements include:

- Understanding of US Laws, Rules and Regulations related to securities (FINRA/SEC), derivatives (CFTC), and loans

- Identifying and assessing compliance risks specific to the securitized product distribution, trading, structuring, and origination activities

- Understanding of market structure for securitized products

- Working productively within a global Compliance team

- Providing support to members of the Business and Controls Partners on compliance risk-related issues

Highly valued skills:

- Attention to detail and problem-solving mindset

- Ability to multitask in a fast-paced environment

- Excellent verbal and written communication skills

## Skills

### Required
- US securities regulations
- FINRA/SEC
- compliance risk management
- market abuse investigation
- regulatory requirements

### Nice to have
- problem-solving
- communication
- multitasking
- analytical thought

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Source: [Apply at barclays.wd3.myworkdayjobs.com](https://barclays.wd3.myworkdayjobs.com/en-US/External_Career_Site_Barclays/job/New-York-745-7th-Avenue/Securitized-Product-Business-Oversight-Compliance---VP_JR-0000073090?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)