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About the Role

Join Barclays as a Broker Dealer Regulatory Reporting Analyst, where you’ll play a key role in supporting daily net capital computations and ensuring compliance with U.S. broker-dealer regulatory requirements. You will prepare and submit mandatory reports to governing bodies such as FINRA, SEC, CFTC, and CME, maintaining accuracy and timeliness. In this role, you’ll also oversee requests from internal and external audits and regulatory examinations, ensuring transparency and adherence to standards. This is an exciting opportunity to contribute to the integrity and resilience of our regulatory reporting framework.

Responsibilities

Identify, assess, and mitigate prudential regulatory reporting risks.
Provide oversight on regulatory reporting.
Maintain open communication with regulators.
Assess the effectiveness of internal control processes and governance framework.
Implement measures to strengthen internal controls.
Prepare and submit regulatory reports to authorities.
Support other departments in their preparation and review of regulatory reports.
Analyze and present regulatory data to provide insights into business performance.
Develop and implement training programs on regulatory requirements.
Communicate and liaise with regulatory bodies.
Respond promptly to regulatory inquiries and provide requested information.
Represent the bank in meetings with regulators.
Manage the selection, implementation, and maintenance of regulatory reporting systems and software applications.
Collaborate with IT colleagues to integrate regulatory reporting systems with other enterprise systems.
Perform prescribed activities in a timely manner and to a high standard.
Drive continuous improvement.
Lead and supervise a team, guiding and supporting professional development.
Allocate work requirements and coordinate team resources.
Create an environment for colleagues to thrive and deliver to a consistently excellent standard.
Develop technical expertise in work area, acting as an advisor where appropriate.
Partner with other functions and business areas.
Take responsibility for end results of a team’s operational processing and activities.
Escalate breaches of policies / procedure appropriately.
Take responsibility for embedding new policies/ procedures adopted due to risk mitigation.
Advise and influence decision making within own area of expertise.
Take ownership for managing risk and strengthening controls.
Deliver work and areas of responsibility in line with relevant rules, regulation and codes of conduct.
Maintain and continually build an understanding of how own sub-function integrates with function.
Build knowledge of the organisation’s products, services and processes within the function.
Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.
Make evaluative judgements based on the analysis of factual information, paying attention to detail.
Resolve problems by identifying and selecting solutions through the application of acquired technical experience.
Guide and persuade team members.
Communicate complex / sensitive information.
Act as contact point for stakeholders outside of the immediate function.
Build a network of contacts outside team and external to the organisation.
Support daily net capital computations.
Ensure compliance with U.S. broker-dealer regulatory requirements.
Prepare and submit mandatory reports to governing bodies such as FINRA, SEC, CFTC, and CME.
Maintain accuracy and timeliness of reports.
Oversee requests from internal and external audits and regulatory examinations.
Ensure transparency and adherence to standards.

Requirements

SEC/FINRA Broker Dealer Regulatory Reporting or equivalent large institution reporting experience
Ability to autonomously execute tasks, evaluate and escalate issues where needed
Attention to detail and ability to present to key stakeholders, including senior leadership and regulators
Working knowledge of the accounting, product, regulatory and operational aspects of a Broker/Securities Dealer
Detail oriented and analytical aptitude
Ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance
Effective communication and ability to build relationships across teams
Risk and controls
Change and transformation
Business acumen strategic thinking
Digital and technology
Job-specific technical skills

Skills

Prudential regulatory reporting
Risk assessment
Risk mitigation
Regulatory compliance
Internal controls
Audit
Data analysis
Training development
Regulatory liaison
System implementation
IT integration
Leadership
Team management
Problem-solving
Communication
Stakeholder management
Net capital computations
FINRA reporting
SEC reporting
CFTC reporting
CME reporting
Audit support
Regulatory examination support
Advanced spreadsheets

Location

Whippany, NJ

Work Type

Full-time

Experience Level

Analyst
People Leader

Salary/Compensations

$80,000
$105,000

Benefits

Medical coverage
Dental coverage
Vision coverage
401(k)
Life insurance
Paid leave for qualifying circumstances
Incentive award

About the Company

Barclays is a global financial services provider committed to helping people and businesses thrive.
Barclays employees are eligible for a suite of a competitive and generous employee benefits.

Equal Opportunity

All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right.
They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.