Description
We are seeking an Employee Conduct Specialist - Compliance AVP to play a key role in ensuring employees meet regulatory registration requirements across the U.S.
You will manage FINRA registrations, support SEC and CFTC Swap AP regulatory processes, and partner with Legal, Compliance, and business stakeholders to maintain regulatory compliance.
Responsibilities:
- Develop and implement policies related to employee conduct that align with regulatory requirements and industry best practices.
- Implement surveillance and monitoring systems to track and report on employee behaviour.
- Develop training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.
- Complete tasks and exceptions from various areas, including Breach Management & Reward, Global Registrations, Conduct Rules, Mandatory Block Leave, and Personal Investments & Affiliations.
- Provide advice and assistance across Barclays on matters relating to employee conduct.
As an Assistant Vice President, you will be expected to:
- Advise and influence decision making, contribute to policy development, and take responsibility for operational effectiveness.
- Lead a team performing complex tasks, using well-developed professional knowledge and skills to deliver on work that impacts the whole business function.
- Collaborate closely with other functions/business divisions.
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.
Preferred skills:
- Ability to reconcile registration issues, coordinate regulatory attestations, and work across Legal, Compliance, and business teams.
- Strong organisational, analytical, and problem-solving skills with exceptional attention to detail.
- Prior experience in regulatory registrations, compliance operations, broker-dealer compliance, or investment advisory registration.
Benefits:
- Competitive and generous employee benefits, including medical, dental and vision coverage, 401(k), life insurance, and other paid leave for qualifying circumstances.
- Eligible for an incentive award.
Salary:
- Minimum: $110,000
- Maximum: $135,000