Job Description

Join Barclays as a Director, Head of Investment Banking Business Oversight Compliance – Americas Region

Lead Compliance Oversight in a Dynamic Investment Banking Environment

We are seeking an accomplished Compliance Director to lead Business Oversight Compliance across our Americas Region. This is a high-impact leadership role for a senior compliance professional looking to influence strategic decision-making, provide trusted regulatory oversight and advice, and shape a strong culture of integrity, proactive risk management, and accountability.

Working closely with senior business leaders, you will provide independent oversight and challenge across a broad range of investment banking activities, ensuring alignment with regulatory expectations, market standards, and the firm's commitment to responsible business practices.

What You'll Do

• Lead compliance oversight across Investment Banking and Capital Markets businesses.
• Partner with senior executives on complex regulatory, conduct, and compliance risk matters.
• Provide strategic guidance on business initiatives, regulatory change, and emerging risks.
• Oversee investigations and reviews of compliance issues, market conduct concerns, and regulatory matters.
• Drive regulatory engagement and maintain effective relationships with key stakeholders.
• Lead, develop, and inspire high-performing compliance professionals.
• Help shape and embed a strong compliance and risk culture across the organisation.

What We're Looking For

• Significant Compliance experience within Investment Banking, Capital Markets or Corporate & Investment Banking.
• Deep understanding of financial services regulation and the evolving regulatory landscape.
• Strong experience providing oversight, challenge, and advisory support to senior business stakeholders.
• Proven leadership experience, including developing teams and influencing at Executive Committee or Board level.
• Demonstrated ability to manage complex regulatory issues and deliver pragmatic solutions in a fast-paced environment.
• Excellent stakeholder management, communication, and influencing skills.

Why Join Us

This role offers the opportunity to work at the forefront of the Americas regulatory and compliance developments within a leading international financial institution. You will play a critical role in protecting the firm's reputation, supporting sustainable business growth, and shaping strategic decisions across a diverse Investment Banking platform.

Ideal candidates will bring a combination of strong technical compliance expertise, commercial judgement, leadership capability, and a passion for partnering with senior stakeholders to drive positive outcomes.

Purpose of the role

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. 

Accountabilities

• Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.
• Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.
• Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.
• Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements.
• Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.
• Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

Director Expectations

• To manage a business function, providing significant input to function wide strategic initiatives. Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide..
• They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business. Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..
• Provide expert advice to senior functional management and committees to influence decisions made outside of own function, offering significant input to function wide strategic initiatives.
• Manage, coordinate and enable resourcing, budgeting and policy creation for a significant sub-function.
• Escalates breaches of policies / procedure appropriately.
• Foster and guide compliance, ensure regulations are observed that relevant processes in place to facilitate adherence.
• Focus on the external environment, regulators, or advocacy groups to both monitor and influence on behalf of Barclays, when appropriate.
• Demonstrate extensive knowledge of how the function integrates with the business division / Group to achieve the overall business objectives.
• Maintain broad and comprehensive knowledge of industry theories and practices within own discipline alongside up-to-date relevant sector / functional knowledge, and insight into external market developments / initiatives.
• Use interpretative thinking and advanced analytical skills to solve problems and design solutions in often complex/ sensitive situations.
• Exercise management authority to make significant decisions and certain strategic decisions or recommendations within own area.
• Negotiate with and influence stakeholders at a senior level both internally and externally.
• Act as principal contact point for key clients and counterparts in other functions/ businesses divisions.
• Mandated as a spokesperson for the function and business division.

All Senior Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others.

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.

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