Job Description
Purpose of the role
To monitor and analyse market activity for potential signs of abuse or manipulation, verifying that there is adherence to regulatory requirements and internal policies and taking action to mitigate market misconduct.
Accountabilities
- Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct.
- Review Chinese-language electronic communications surveillance alerts.
- Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.
- Business support in projects related to the firm’s market surveillance framework.
- Regulatory query and internal/external audit support.
- Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends.
- Execution of appropriate controls aligned to the Barclays control framework and related firm-wide standards.
- Control environment support in relation to data quality, model effectiveness and efficiency.
Analyst Expectations
- Will have an impact on the work of related teams within the area.
- Partner with other functions and business areas.
- Takes responsibility for end results of a team’s operational processing and activities.
- Escalate breaches of policies / procedure appropriately.
- Take responsibility for embedding new policies/ procedures adopted due to risk mitigation.
- Advise and influence decision making within own area of expertise.
- Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct.
- Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function.
- Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
- Make evaluative judgements based on the analysis of factual information, paying attention to detail.
- Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents.
- Guide and persuade team members and communicate complex / sensitive information.
- Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.
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.
Essential Skills/Basic Qualifications:
- Strong verbal and written communication in English and Chinese
- Good communication skills, ability to interact and work with key stakeholders
- Ability to quickly understand and interchange with a variety of other product and technical areas
- Strong understanding of core APAC Markets and respective regulations
- Strong Surveillance or Compliance experience in a financial services environment or Regulator (1-3 years relevant experience)
- Ability to multi-task and manage projects while completing daily tasks and responsibilities
- Bachelor degree required.
Desirable skills/Preferred Qualifications:
- Be “tech savvy” interested by the opportunities technology provides for quality, efficiency or accuracy
- Understand risk management and control functions
