Compliance AVP: Conduct & Regulatory Registrations
Listed on 2026-09-24
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Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist, Financial Law
Barclays is seeking an Employee Conduct Specialist - Compliance AVP in the United States to lead FINRA registrations and regulatory activities. You will partner with Legal, Compliance, and business stakeholders to maintain regulatory compliance across the U.S., manage registration processes, and support attestations and filings in a fast-paced, detail-oriented environment.
The role requires experience with FINRA rules and broker-dealer registrations, plus familiarity with SEC/CFTC Swap AP
This role, Compliance AVP:
Employee Conduct & Regulatory Registrations at Barclays, could be your next opportunity.
This role, Compliance AVP:
Employee Conduct & Regulatory Registrations at Barclays, could be your next move.
Are you ready to take on the Compliance AVP:
Employee Conduct & Regulatory Registrations role at Barclays?
We would love to welcome a new Compliance AVP:
Employee Conduct & Regulatory Registrations to our team in KY, United States.
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