Broker Dealer Regulatory Reporting Analyst

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.

To be successful as a Broker Dealer Regulatory Reporting Analyst, you should have:

• SEC/FINRA Broker Dealer Regulatory Reporting or equivalent large institution reporting experience
• Ability to autonomously execute tasks, evaluate and elevate issues where needed
• Attention to detail and ability to present to key stakeholders, including senior leadership and regulators

Some other highly valued skills may include:

• 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

You may be assessed on the key critical skills relevant for success in this role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills.

This role is located in Whippany, NJ.

Minimum Salary: $80,000

Maximum Salary: $105,000

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

Barclays employees are eligible for a suite of a competitive and generous employee benefits, including medical, dental and vision coverage, 401(k), life insurance, and other paid leave for qualifying circumstances.

This position is eligible for an incentive award.

To identify, assess and mitigate prudential regulatory reporting risks, provide oversight on regulatory reporting, and maintenance of open communication with regulators to ensure that the bank's activities and operations comply with all applicable laws, regulations, and internal control policies.

• Identification and assessment of prudential regulatory reporting risks arising from the bank's activities, products, and services. Development and implementation of strategies to mitigate prudential regulatory reporting risks, ensuring compliance with all applicable laws, regulations, and internal control policies, and conduct regular compliance reviews and audits to identify and address potential compliance gaps or violations.
• Assessment of the effectiveness of the bank’s internal control processes and governance framework, including addressing any weaknesses or gaps that could lead to regulatory reporting non-compliance, and implementation of measures to strengthen internal controls.
• Preparation and submission of regulatory reports to authorities, and provision of support to other departments in their preparation and review of regulatory reports.
• Analysis and presentation of regulatory data to provide insights into business performance, identify trends, and support decision-making.
• Development and implementation of training programmes to educate employees on regulatory requirements and compliance responsibilities.
• Communication and liaising with regulatory bodies, prompt responses to inquiries and provision of requested information, and representation of the bank in meetings with regulators.
• Management of the selection, implementation, and maintenance of regulatory reporting systems and software applications, including collaboration with IT colleagues to integrate regulatory reporting systems with other enterprise systems.

• To perform prescribed activities in a timely manner and to a high standard consistently driving continuous improvement.
• Requires in-depth technical…