Trade Surveillance AVP
Company: Barclays
Location: Whippany
Posted on: June 24, 2025
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Job Description:
Embark on a transformative journey at Barclays as a Trade
Surveillance AVP. Your role will be to monitor and analyze 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.
misconduct. To be successful as a Barclays as a Trade Surveillance
AVP, you should have experience with: Knowledge of Surveillance
platforms (e.g. Nasdaq SMARTs, Actimize) Understanding of the rules
and trading practices of U.S. Exchanges in addition to core SEC and
U.S. regulations A background in Trade surveillance, Trade support,
or Operations Strong markets product knowledge including experience
in Fixed Income, Equities, Futures, or Foreign Exchange (FX)
Markets Some other highly valued skills may include: Demonstrated
ability to build and maintain relationships with key internal and
external stakeholders, aligning business objectives and ensuring
mutual success Analytical mindset with the ability to identify
issues, evaluating alternatives, and implementing effective
solutions in fast-paced, high-stakes environments Ample verbal and
written communication abilities, effectively engaging diverse
audiences and translating complex ideas into clear, actionable
insights You may be assessed on the key critical skills relevant
for success in role, such as risk and controls, change and
transformation, business acumen, strategic thinking, digital and
technology, as well as job-specific technical skills. This role is
located in the Whippany, NJ office. Minimum Salary $110,000 Maximum
Salary $135,000 The minimum and maximum salary/rate information
above include 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. 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.
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. Assistant Vice President Expectations
To advise and influence decision making, contribute to policy
development and take responsibility for operational effectiveness.
Collaborate closely with other functions/ business divisions. Lead
a team performing complex tasks, using well developed professional
knowledge and skills to deliver on work that impacts the whole
business function. Set objectives and coach employees in pursuit of
those objectives, appraisal of performance relative to objectives
and determination of reward outcomes If the position has leadership
responsibilities, People 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. OR for an individual contributor,
they will lead collaborative assignments and guide team members
through structured assignments, identify the need for the inclusion
of other areas of specialisation to complete assignments. They will
identify new directions for assignments and/ or projects,
identifying a combination of cross functional methodologies or
practices to meet required outcomes. 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.
Keywords: Barclays, Westport , Trade Surveillance AVP, Accounting, Auditing , Whippany, Connecticut
