Conduct Specialist - Compliance AVP

Join us as an Employee Conduct Specialist
- Compliance AVP, where you will 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. This role is responsible for monitoring registration activities, resolving complex issues, and ensuring timely regulatory attestations and filings.

We’re looking for a detail-oriented professional who enjoys working in a fast-paced, process-driven environment with a strong focus on accuracy and compliance.

To be successful as an Employee Conduct Specialist
- Compliance AVP, you should have:

• 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

Other highly valued skills include:

• 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

This role is located in Whippany, NJ.

Minimum Salary:$110,000

Maximum Salary:$135,000

The minimum and maximum salary/rate information above includes only base salary or base hourly rate. It does not include any other type of compensation or benefits that may be available.

Barclaysemployeesareeligibleforasuiteofcompetitiveandgenerousemployeebenefits,including medical,dentalandvisioncoverage,401(k),life insurance,andotherpaidleaveforqualifyingcircumstances.

Thispositioniseligibleforanincentiveaward.

To investigate employee conduct exceptions, provide oversight & advice and mitigate compliance risks. Help maintain a culture of employee integrity and compliance within the organisation through delivery of appropriate training and execution of controls.

• 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 behaviour.
• Development of training programmes to educate employees on conduct expectations, ethical standards, and regulatory obligations.
• Completion of task and exceptions from the following areas 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.

• 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…