The Company is seeking an Employee Conduct Specialist - Compliance AVP to join their team. The successful candidate will be responsible for investigating employee conduct exceptions, providing oversight and advice, and mitigating compliance risks. This role is pivotal in maintaining a culture of employee integrity and compliance within the organization. Key accountabilities include the development and implementation of policies related to employee conduct that align with regulatory requirements and industry best practices, as well as the creation of training programs to educate employees on conduct expectations, ethical standards, and regulatory obligations. The role also involves the implementation of surveillance and monitoring systems to track and report on employee behavior, and the development of controls that ensure compliance with regulatory standards. Applicants for the Employee Conduct Specialist - Compliance AVP position should have a strong background in managing FINRA registrations, with a deep understanding of FINRA rules, systems, and regulatory processes. Familiarity with SEC and CFTC Swap AP registration requirements is also essential. The ideal candidate will have a proven track record in broker-dealer registration activities, and experience in regulatory registrations, compliance operations, or investment advisory registration is highly valued. The role requires a detail-oriented professional with strong organizational, analytical, and problem-solving skills, and the ability to work effectively across legal, compliance, and business teams. The candidate should be adept at reconciling registration issues, coordinating regulatory attestations, and ensuring timely regulatory filings.

Hiring Company

Barclays Corporate Banking