Employee Conduct Specialist - Compliance AVP

Barclays•Jefferson, CO

7d•$110,000 - $135,000•Onsite

About The Position

The Employee Conduct Specialist – Compliance AVP investigates employee conduct exceptions, provides oversight and advice, and helps mitigate compliance risks. The role supports a culture of employee integrity and compliance through training, surveillance, monitoring, and control execution. It covers conduct-related policy and controls aligned with regulatory requirements, Barclays’ risk appetite, and industry best practices, and provides advice across Barclays on employee conduct matters. In this role, you will help ensure employees meet U.S. regulatory registration requirements. You will manage FINRA registrations, support SEC and CFTC Swap AP regulatory processes, and work with Legal, Compliance, and business stakeholders to maintain regulatory compliance. The role monitors registration activities, resolves complex issues, and ensures timely regulatory attestations and filings. It is based in Whippany, New Jersey.

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.
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.

Responsibilities

Investigate employee conduct exceptions, provide oversight and advice, and mitigate compliance risks.
Develop and implement employee conduct policies aligned with regulatory requirements and industry best practices.
Implement surveillance and monitoring systems to track and report on employee behaviour.
Develop training programmes covering conduct expectations, ethical standards, and regulatory obligations.
Complete tasks and resolve exceptions involving Breach Management & Reward, Global Registrations, Conduct Rules, Mandatory Block Leave, and Personal Investments & Affiliations.
Develop and implement employee conduct controls aligned with regulatory requirements, Barclays’ risk appetite, and industry best practices.
Provide advice and assistance across Barclays on employee conduct matters.
Manage FINRA registrations and support SEC and CFTC Swap AP regulatory processes.
Monitor registration activities, resolve complex issues, and ensure timely regulatory attestations and filings.
Collaborate with Legal, Compliance, business stakeholders, and other functions to maintain regulatory compliance.
Take ownership of risk management and strengthening controls, and identify ways to mitigate risk through policies and procedures.
Analyze information from multiple internal and external sources to solve problems and communicate complex or sensitive information to stakeholders.