Compliance Officer - Surveillance AVP
Are you a detail-oriented individual with a passion for financial compliance? Do you have experience in surveillance and a strong understanding of regulatory requirements? If so, then we have an exciting opportunity for you at Barclays as a Compliance Officer - Surveillance AVP. As a member of our team, you will play a crucial role in ensuring that our organization operates in full compliance with all applicable laws and regulations. We are seeking a highly motivated and skilled professional to join our team and help us maintain our commitment to ethical and responsible practices. If you are ready to take the next step in your compliance career, we encourage you to apply for this position.
- Conduct surveillance and monitoring activities to ensure compliance with all relevant laws and regulations.
- Analyze and interpret regulatory requirements and provide guidance to the organization on compliance matters.
- Develop and implement policies and procedures to ensure compliance with regulatory requirements.
- Monitor and evaluate the effectiveness of existing compliance programs and make recommendations for improvements.
- Conduct risk assessments and identify potential compliance risks within the organization.
- Collaborate with cross-functional teams to ensure compliance with all regulatory requirements.
- Conduct regular training and education programs to increase awareness of compliance regulations within the organization.
- Investigate and report any compliance violations or potential violations to the appropriate authorities.
- Stay informed about changes in relevant laws and regulations and make necessary updates to compliance policies and procedures.
- Maintain accurate and up-to-date records and documentation related to compliance activities.
- Serve as a point of contact for regulatory agencies and assist with any audits or inquiries.
- Communicate and collaborate with senior management to provide updates on compliance activities and address any potential issues.
- Participate in industry associations and conferences to stay informed about best practices in compliance.
- Maintain confidentiality and integrity in all compliance-related matters.
- Mentor and support junior compliance team members to foster a culture of compliance within the organization.
In-Depth Knowledge Of Regulatory Requirements: A Compliance Officer – Surveillance Avp At Barclays Must Possess A Strong Understanding Of The Various Laws, Regulations, And Industry Standards That Govern The Financial Services Sector. This Includes But Is Not Limited To The Securities And Exchange Commission (Sec) Regulations, The Financial Industry Regulatory Authority (Finra) Rules, And The Bank Secrecy Act (Bsa).
Experience In Conducting Surveillance Activities: The Role Of A Compliance Officer – Surveillance Avp Involves Monitoring And Analyzing Market Activities, Transactions, And Communications To Identify Potential Violations Of Laws And Regulations. Therefore, Candidates Must Have Previous Experience In Conducting Surveillance And Investigations In A Financial Services Setting.
Strong Analytical And Problem-Solving Skills: Compliance Officers – Surveillance Avp Must Possess Excellent Analytical And Problem-Solving Skills To Effectively Identify And Assess Potential Compliance Risks. They Must Be Able To Analyze Large Amounts Of Data, Identify Patterns, And Make Sound Decisions Based On Their Findings.
Attention To Detail: The Financial Services Industry Is Highly Regulated, And Even Minor Compliance Violations Can Have Serious Consequences. Therefore, A Compliance Officer – Surveillance Avp Must Have A Keen Eye For Detail And Be Able To Spot Even The Smallest Discrepancies Or Red Flags In Market Activities And Transactions.
Communication And Teamwork Skills: Compliance Officers – Surveillance Avp Must Be Able To Communicate Effectively With Various Stakeholders, Including Senior Management, Regulators, And Other Compliance Professionals. They Must Also Possess Strong Teamwork Skills To Collaborate With Other Departments, Such As Risk Management And Legal, To Address Compliance Issues And Implement Solutions.
Data Analysis
Report Writing
Internal controls
Risk assessment
Investigative skills
Audit management
Compliance Training
Policy Development
Fraud detection
Compliance monitoring
Regulatory Knowledge
Due
Communication
Conflict Resolution
Emotional Intelligence
Leadership
Time management
Interpersonal Skills
creativity
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Compliance Officer - Surveillance AVP in Frankfurt, Germany is €80,000 - €110,000 per year. This can vary depending on the specific company, experience level, and additional skills or qualifications the candidate may have. Bonuses and benefits may also be included in the overall compensation package.
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Barclays plc is a British multinational investment bank and financial services company, headquartered in London. Apart from investment banking, Barclays is organised into four core businesses: personal banking, corporate banking, wealth management, and investment management.
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