Employee Conduct Specialist - Compliance AVP

Job Summary

Play a key role in ensuring employees meet regulatory registration requirements across the U.S. Manage FINRA registrations, support SEC and CFTC Swap AP regulatory processes, and partner with Legal, Compliance, and business stakeholders to maintain regulatory compliance.

Responsibilities

• Manage FINRA registrations and resolve complex issues
• Support SEC and CFTC Swap AP regulatory processes
• Partner with Legal, Compliance, and business stakeholders to maintain regulatory compliance
• Monitor registration activities and ensure timely regulatory attestations and filings
• Investigate employee conduct exceptions, provide oversight & advice, and mitigate compliance risks
• Help maintain a culture of employee integrity and compliance within the organization through delivery of appropriate training and execution of controls
• Develop and implement policies related to employee conduct that aligns with regulatory requirements and industry best practices
• Implement surveillance and monitoring systems to track and report on employee behavior
• Develop training programs to educate employees on conduct expectations, ethical standards, and regulatory obligations
• Complete tasks and exceptions from areas such as breach management, global registrations, conduct rules, mandatory block leave, and personal investments & affiliations
• Develop and implement controls related to employee conduct that aligns with regulatory requirements and Barclays’ risk appetite and industry best practices
• Provide advice and assistance across Barclays on matters relating to employee conduct

Requirements

• Experience managing FINRA registrations and a strong understanding of FINRA rules, systems, and regulatory processes
• Familiarity with SEC and CFTC Swap AP registration requirements and regulatory reporting
• Knowledge of broker-dealer registration activities
• Ability to reconcile registration issues, coordinate regulatory attestations, and work across Legal, Compliance, and business teams
• Strong organizational, analytical, and problem-solving skills with exceptional attention to detail
• Prior experience in regulatory registrations, compliance operations, broker-dealer compliance, or investment advisory registration preferred

Qualifications

• Detail-oriented professional with a strong focus on accuracy and compliance
• Fast-paced, process-driven environment experience

Benefits

Barclays offers 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.

Pay

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

Schedule

The role is located in Whippany, NJ.