4.0 - 8.0 years

0 Lacs

pune, maharashtra

On-site

Join us as a Business Analyst 4 (BA4) in the BBPLC Control Room at Barclays, where Compliance Control Room plays a crucial role in managing Legal, Regulatory, and Reputational Risks across all lines of business. Our team handles business critical functions related to key controls for managing Market Abuse, potential Conflicts of Interest, Information Barriers, Regulatory Insider Lists, Watch List, and Restricted Lists. As a BA4 in the Control Room team, your responsibilities include providing advisory services on Information Barrier Controls, analyzing private side transactions, liaising with senior bankers, and ensuring compliance with US Securities law requirements. To excel in this role, you should have experience in: - Liaising with senior bankers to assess risks and implement preventative and detective controls such as surveillance and research review. - Advising on Information Flows, Information Barriers, and Inside Information considerations. - Guiding chaperoning requirements and vetting communications between the Equity research department and Banking department. - Applying firm-wide restrictions in response to transaction announcements to mitigate legal, regulatory, and reputational risks. - Reviewing wall crossings and maintaining accurate records to uphold the firm's information barriers. - Investigating policy breaches, collaborating with relevant stakeholders, and implementing necessary actions. - Assisting in drafting procedures, guidance, and delivering training. - Participating in Control Room projects and regulatory reviews, ensuring effective risk management processes. Desirable skills/Preferred Qualifications: - Strong understanding of rules and regulations related to the Control Room. - Ability to work in a fast-paced, time-sensitive environment. - Excellent written and oral communication skills. - Assertive and investigative nature. - Degree or Equivalent qualification. Location: Pune Purpose of the role: The primary purpose of this role is to manage Legal, Regulatory, and Reputational Risks across all business lines, focusing on key controls to handle Market Abuse, Conflicts of Interest, Information Barriers, and Regulatory Insider Lists effectively. Accountabilities: - Evaluate controls related to banking activities, including Information Barrier Controls and MNPI flow. - Monitor potential risks from business activities and regulatory changes. - Investigate and analyze control breaches, identify root causes, and implement corrective actions. - Maintain comprehensive documentation of Control Room activities and risk assessments. - Develop procedures to manage incidents or breaches of information barriers. - Record Inside Information, Watch List, Restricted list, and Wall Crossings accurately. Analyst Expectations: - Perform activities consistently to a high standard, driving continuous improvement. - Demonstrate in-depth technical knowledge and experience in the assigned area of expertise. - Lead and guide a team, supporting professional development and coordinating resources. - Partner with other functions, influence decision-making, and manage risk effectively. - Resolve problems, communicate complex information, and build a network of contacts. As a Barclays colleague, you are expected to embody the Barclays Values of Respect, Integrity, Service, Excellence, and Stewardship, along with the Barclays Mindset of Empower, Challenge, and Drive.,

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