FINRA & Regulatory Registrations Compliance Specialist

Socket.dev; Denver (CO); On-site; USD 110,000 - 135,000; Full time

Benefits offered by this job

Medical, dental and vision coverage

401(k)

Life insurance

Paid leave

Incentive award

Job summary

Barclays seeks an Employee Conduct Specialist - Compliance AVP to oversee FINRA registrations and regulatory processes in the U.S. You will partner with Legal, Compliance, and business teams to maintain compliance, manage attestations, and resolve complex registration issues in a fast-paced environment.

You will work from the Whippany, NJ office, handling regulatory reporting, risk controls, and process improvements while upholding Barclays values and governance standards.

Qualifications

• 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

Responsibilities

• Monitor registration activities and resolve complex issues.
• Ensure timely regulatory attestations and filings across relevant bodies.
• Collaborate with Legal, Compliance, and business stakeholders to maintain regulatory compliance.
• Advise People Leaders and support escalation resolution on complex issues.
• Identify ways to mitigate risk and develop new policies/procedures in support of governance.

Skills

FINRA registrations

Regulatory processes

SEC/CFTC knowledge

Broker-dealer compliance

Job description

Barclays seeks an Employee Conduct Specialist - Compliance AVP to oversee FINRA registrations and regulatory processes in the U.S. You will partner with Legal, Compliance, and business teams to maintain compliance, manage attestations, and resolve complex registration issues in a fast-paced environment.

You will work from the Whippany, NJ office, handling regulatory reporting, risk controls, and process improvements while upholding Barclays values and governance standards.