일반채용정보
채용구분
- 경력
전형유형
- 수시채용
채용마감일
- 2015/06/25 13:15
채용마감 여부
- 마감
회사
- Barclays PLC
모집부문
- Compliance Analyst
근무지
- Hong Kong
세부사항
Barclays Investment Bank
About Compliance
Compliance at Barclays is located across 43 Countries with approximately 2000 employees. It oversees all compliance activities across Barclays, including all regions in which we do business. The world is changing and we need to too. We are making a paradigm shift to the way we operate, returning to the basics of ethical banking. Our vision is to become the “Go-To Bank”, to be the role model for the banking industry.
Along with our core values, we have introduced the balanced scorecard which will help us to measure our success against our “Go-To” vision, giving all our colleagues clarity around what they should focus their energy on.
Compliance is an independent ‘second line of defense’. It is absolutely at the heart of the Barclays “Go-To” vision. We are on a journey to achieving this vision, where positive changes have already been realised. We will act as the ‘guiding light’ for Barclays:
• Being an independent control for the bank
• Being a world class global compliance function
• Driven by the skilled and empowered individuals in Compliance who are focused on doing the right thing
• Reporting directly into the board and being a role model for the banking industry
Our drive for excellence is work in progress – it’s about doing the best we can today and doing even better tomorrow. It’s about being proud of our achievements and honest about the things that need to change. We are looking for people that have what it takes to make Barclays the “Go-To” bank.
People are a key component of the success of Compliance and are expected to play a central role in business decision-making, with the ability to lead and be a key component in complex projects. In taking proactive judgment, continuously challenging and anticipating risks compliance employees are the individuals that senior management of the firm significantly value as an essential contributor and partner when key decisions are being made.
Main Duties and Responsibilities
Assist in all aspects of the daily operation of the control room with a particular emphasis on research clearance, wall crossings, disclosures reviews, media requests. Assist in performance of all UAT testing for system upgrades as required;
Assist the Head of The Control Room in requests and data gathering as it relates to Compliance Risk Review, internal audit, and regional compliance queries. Maintain an active involvement in research clearance shifts (including Sunday evening and early morning shifts) to support the Asia and US regions. Assist in daily statistical gathering and recording for internal reporting purposes. Assist in recording of breaches in Barclays internal Compliance systems, review and preparation of training materials and conduct training both to Compliance and to Business as required, review and provision of solutions to local and global policy and procedural developments.
Provide guidance and timely responses to ad hoc queries from the front office including those related to trading and the restricted list including Korea trading restriction queries, banking requests for chaperoning, and data requests from research.
Qualifications
•Experienced Control Room or Compliance professional with experience on surveillance and monitoring of watch list and restricted list, research front running, trade ideas, Korea trade monitoring and Indonesia trades, as well to support the team on other projects or daily work.
•It will be an added value if the candidate has knowledge of research reviews, wall crossings, watch and restricted list operations, maintenance and surveillance.
•Excellent English communication skills both orally and in writing with ability to articulate problems, issues, and proposals effectively and with an advanced command of concepts and procedures.
Risk and Control Objective:
Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Barclays Operational Risk Framework and internal Barclays Policies and Standards.
About Compliance
Compliance at Barclays is located across 43 Countries with approximately 2000 employees. It oversees all compliance activities across Barclays, including all regions in which we do business. The world is changing and we need to too. We are making a paradigm shift to the way we operate, returning to the basics of ethical banking. Our vision is to become the “Go-To Bank”, to be the role model for the banking industry.
Along with our core values, we have introduced the balanced scorecard which will help us to measure our success against our “Go-To” vision, giving all our colleagues clarity around what they should focus their energy on.
Compliance is an independent ‘second line of defense’. It is absolutely at the heart of the Barclays “Go-To” vision. We are on a journey to achieving this vision, where positive changes have already been realised. We will act as the ‘guiding light’ for Barclays:
• Being an independent control for the bank
• Being a world class global compliance function
• Driven by the skilled and empowered individuals in Compliance who are focused on doing the right thing
• Reporting directly into the board and being a role model for the banking industry
Our drive for excellence is work in progress – it’s about doing the best we can today and doing even better tomorrow. It’s about being proud of our achievements and honest about the things that need to change. We are looking for people that have what it takes to make Barclays the “Go-To” bank.
People are a key component of the success of Compliance and are expected to play a central role in business decision-making, with the ability to lead and be a key component in complex projects. In taking proactive judgment, continuously challenging and anticipating risks compliance employees are the individuals that senior management of the firm significantly value as an essential contributor and partner when key decisions are being made.
Main Duties and Responsibilities
Assist in all aspects of the daily operation of the control room with a particular emphasis on research clearance, wall crossings, disclosures reviews, media requests. Assist in performance of all UAT testing for system upgrades as required;
Assist the Head of The Control Room in requests and data gathering as it relates to Compliance Risk Review, internal audit, and regional compliance queries. Maintain an active involvement in research clearance shifts (including Sunday evening and early morning shifts) to support the Asia and US regions. Assist in daily statistical gathering and recording for internal reporting purposes. Assist in recording of breaches in Barclays internal Compliance systems, review and preparation of training materials and conduct training both to Compliance and to Business as required, review and provision of solutions to local and global policy and procedural developments.
Provide guidance and timely responses to ad hoc queries from the front office including those related to trading and the restricted list including Korea trading restriction queries, banking requests for chaperoning, and data requests from research.
Qualifications
•Experienced Control Room or Compliance professional with experience on surveillance and monitoring of watch list and restricted list, research front running, trade ideas, Korea trade monitoring and Indonesia trades, as well to support the team on other projects or daily work.
•It will be an added value if the candidate has knowledge of research reviews, wall crossings, watch and restricted list operations, maintenance and surveillance.
•Excellent English communication skills both orally and in writing with ability to articulate problems, issues, and proposals effectively and with an advanced command of concepts and procedures.
Risk and Control Objective:
Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Barclays Operational Risk Framework and internal Barclays Policies and Standards.
지원방법
- https://www.linkedin.com/jobs2/view/56422954