Director Etrading Compliance

Job Description

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.

Join Barclays as EMEA Head of Electronic Trading Business Oversight (BOC) Compliance, where you will lead the EMEA Electronic Trading Compliance team and be responsible for providing oversight of the Electronic and Algorithmic Trading business, including the Quantitative Analytics function, across Global Markets.

Based in London, you will provide expert advice on electronic and algorithmic trading matters to senior Business and Technology stakeholders across the region, drawing on deep expertise in EMEA market structure and the UK and EU regulatory framework governing electronic trading activities.

To be successful as a Director, EMEA Head of Electronic BOC, you should have experience with:

• Significant understanding of UK and EU regulatory requirements applicable to electronic and algorithmic trading across EMEA, including:
  • MiFID II / MiFIR, including RTS 6 (algorithmic trading controls), RTS 24 (investment firms’ transparency) and RTS 28 (best execution)
  • Market Abuse Regulation (MAR), including risks associated with automated and high‑frequency trading
  • FCA Handbook requirements, including SYSC, Conduct of Business and market integrity obligations
  • Awareness of UK post‑Brexit regulatory divergence and its impact on electronic trading governance and controls
• Identifying, assessing, and overseeing compliance risks specific to electronic and algorithmic trading businesses across EMEA, including governance frameworks, control design, testing, and ongoing monitoring
• Strong understanding of market structure and financial products across asset classes within Global Markets, including equities, fixed income, FX and derivatives
• Ability to understand complex technical aspects of trading, including system architecture, algorithm design and deployment, trading workflows, and the implementation of effective preventive and detective controls
• Providing clear, credible, and pragmatic guidance to senior Business, Technology, and Compliance Management stakeholders on electronic trading–related compliance matters across the region
• Leading and managing a regional team, including setting strategic direction, developing talent, and maintaining effective engagement with key stakeholders and regulators as required