Bbplc Control Room

**Date live**:
06/02/2025
**Business Area**:
Compliance
**Area of Expertise**:
Compliance
**Contract**:
Permanent
**Reference Code**:
JR-0000021623
Compliance is a broad, multidisciplinary function at Barclays that oversees our global business operations. We ensure the bank lives its values, meets regulatory requirements, and follows our codes of conduct. Compliance helps manage financial affairs safely, prevents crime, and eliminates bad practices, acting as guardians for customers, colleagues, assets, shareholders, and reputation. This vital, challenging, and rewarding role protects customers, defends our reputation, and defines our business practices. Without Compliance, Barclays could not operate.
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Join us as a BA4 in the BBPLC Control Room at Barclays, wherein Compliance Control Room manages 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. This is accomplished via advisory services provided in relation to Information Barrier Controls and the flow of MNPI. This includes daily interactions with senior bankers in regard to transactions and ensuring full, detailed regular analysis of the current and future state of private side transactions is undertaken. The
critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.
To be a successful BA4 in the BBPLC Control Room team, you should have experience with (mandatory):

- Liaising with senior bankers in relation to transactions, assimilating and analyzing relevant information to evaluate risks and requirements for preventative and detective controls such as surveillance and research review to manage the Firm’s Watch and Restricted List.
- Advising on Information Flows, Information Barriers and Inside Information considerations, acting as a check and challenge function.
- Provide guidance and act as a control function in regard to chaperoning requirements as well as vetting the appropriateness of communications and, or calls between the Firm’s Equity research department and Banking department.
- Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers; keeping accurate and detailed records to ensure the integrity of firm's information barriers are appropriately monitored.
- Investigating breaches of policy and uphold policy fairly and consistently, liaising with Product Compliance and the relevant supervisors as required to issue policy breach notifications and any actions deemed appropriate.
- Assisting in drafting updated procedures, guidance or training, and delivering training from time to time.
- Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings to ensure internal controls and risk management processes are effective.

**Desirable skills/Preferred Qualifications**:

- Strong understanding of the rules and regulations relating to the Control Room.
- Able to work in a fast paced, time sensitive environment.
- Excellent communication skills both written and oral.
- Assertive and confident manner with an investigative nature
- Degree or Equivalent

**Location**: Pune
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, such advisory services provided in relation to Information Barrier Controls and the flow of MNPI. The critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.
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