IB Financial Crimes Investigations - AVP (Markets)

About the job

Job Description

Purpose of the role
To conduct investigations into various aspects of the bank’s operations and/or conduct of individuals to identify and address potential instances of non-compliance, fraud, misconduct, or other unethical behaviour, that harms or is likely to harm the reputation or financial well-being of the firm or may lead to legal and/or regulatory censure.

• Accountabilities
• Identification and evaluation of potential risks associated with non-compliance or unethical conduct and implement risk mitigation strategies.
• Leading the investigations into alleged violations of policies, regulations, or laws.
• Provision of training programs to enhance awareness of compliance issues and ethical conduct among colleagues.
• Documentation of investigation processes and provision of recommendations for corrective actions and improvements based on investigation findings.
• Utilisation of advanced technology and data analytics tools to enhance the efficiency and effectiveness of investigations.
• Utilisation and assessment of relevant internal and external information and intelligence in furtherance of the investigation.
• Where applicable, fulfilment of any necessary external legal and/or regulatory reporting obligations.

• Assistant Vice President Expectations
• Consult on complex issues; providing advice to People Leaders to support the resolution of escalated issues.
• Identify ways to mitigate risk and developing new policies/procedures in support of the control and governance agenda.
• Take ownership for managing risk and strengthening controls in relation to the work done.
• Perform work that is closely related to that of other areas, which requires understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
• Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategy.
• Engage in complex analysis of data from multiple sources of information, internal and external sources such as procedures and practises (in other areas, teams, companies, etc).to solve problems creatively and effectively.
• Communicate complex information. 'Complex' information could include sensitive information or information that is difficult to communicate because of its content or its audience.
• Influence or convince stakeholders to achieve outcomes.

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 us as an IB Financial Crimes Investigations -AVP (Markets), where you’ll conduct in-depth reviews of trading activity and financial crime referrals across investment and correspondent banking. You’ll investigate potential fraud, misconduct, or unethical behavior that could harm the firm’s reputation. This role requires a strong understanding of AML, stock market operations, and regulatory risk. Your findings help protect the firm and ensure compliance with legal and regulatory standards.

To be successful as an IB Financial Crimes Investigations -AVP (Markets), you should have experience with:

• Trade Surveillance and financial crime investigations
• Knowledge of market activity, equities, bonds, and trading patterns
• Ability to conduct front-to-back transaction reviews

Other highly valued skills include:

• Skilled in drafting SARs for market-related referrals
• Comfortable managing tight deadlines under pressure
• Familiarity with AI systems

You may be assessed on key critical skills relevant for success in this role, such as risk and controls, change and transformation, business acumen, strategic thinking and digital and technology, as well as job-specific technical skills.

This role is located in Whippany, NJ.

Minimum Salary: $110,000
Maximum Salary: $135,000

The minimum and maximum salary/rate information above includes only base salary or base hourly rate. It does not include any other type of compensation or benefits that may be available.

Barclays employees are eligible for a suite of competitive and generous employee benefits, including medical, dental and vision coverage, 401(k), life insurance, and other paid leave for qualifying circumstances.

This position is eligible for an incentive award.