Employee Conduct Specialist - Compliance AVP

Barclays•Jefferson, CO

4d•$110,000 - $135,000•Onsite

About The Position

The purpose of the role is to investigate employee conduct exceptions, provide oversight & advice, and mitigate compliance risks. This role helps maintain a culture of employee integrity and compliance within the organization through the delivery of appropriate training and execution of controls. The Assistant Vice President (AVP) expectations include advising and influencing decision-making, contributing to policy development, and taking responsibility for operational effectiveness. This involves collaborating closely with other functions/business divisions, leading a team performing complex tasks, and setting objectives and coaching employees. For an individual contributor, they will lead collaborative assignments and guide team members, identify the need for other specializations, and identify new directions for assignments or projects. They will consult on complex issues, provide advice to People Leaders, identify ways to mitigate risk, and develop new policies/procedures. This role requires performing work closely related to other areas, understanding how areas coordinate, and collaborating with business-aligned support areas. It involves complex analysis of data from multiple sources to solve problems creatively and effectively, and communicating complex information. All colleagues are expected to demonstrate the Barclays Values (Respect, Integrity, Service, Excellence, Stewardship) and the Barclays Mindset (Empower, Challenge, Drive).

Requirements

Experience managing FINRA registrations.
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.
Ability to coordinate regulatory attestations.
Ability to work across Legal, Compliance, and business teams.
Strong organizational, analytical, and problem-solving skills.
Exceptional attention to detail.

Nice To Haves

Prior experience in regulatory registrations, compliance operations, broker-dealer compliance, or investment advisory registration preferred.

Responsibilities

Development and implementation of policies related to employee conduct that aligns with regulatory requirements and industry best practices.
Implementation of surveillance and monitoring systems to track and report on employee behavior.
Development of training programs to educate employees on conduct expectations, ethical standards, and regulatory obligations.
Completion of tasks and exceptions from areas including Breach Management & Reward, Global Registrations (including the UK Senior Managers Regime), Conduct Rules, Mandatory Block Leave, and Personal Investments & Affiliations to ensure oversight of relevant Employee Conduct policy and standards.
Development and implementation of controls related to employee conduct that aligns with regulatory requirements and Barclays’ risk appetite and industry best practices.
Provision of advice and assistance across Barclays on matters relating to employee conduct.
Manage FINRA registrations.
Support SEC and CFTC Swap AP regulatory processes.
Partner with Legal, Compliance, and business stakeholders to maintain regulatory compliance.
Monitoring registration activities.
Resolving complex issues.
Ensuring timely regulatory attestations and filings.