Broker Dealer Regulatory Reporting Analyst

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 opportunity to contribute to the integrity and resilience of our regulatory reporting framework.

Responsibilities

• Identify, assess, and mitigate prudential regulatory reporting risks arising from the bank’s activities, products, and services.
• Develop and implement strategies to mitigate prudential regulatory reporting risks, ensuring compliance with all applicable laws, regulations, and internal control policies.
• Conduct regular compliance reviews and audits to identify and address potential compliance gaps or violations.
• Assess the effectiveness of the bank’s internal control processes and governance framework, addressing weaknesses or gaps that could lead to regulatory reporting non-compliance.
• Implement measures to strengthen internal controls.
• Prepare and submit regulatory reports to authorities, and provide support to other departments in their preparation and review of regulatory reports.
• Analyze and present regulatory data to provide insights into business performance, identify trends, and support decision-making.
• Develop and implement training programs to educate employees on regulatory requirements and compliance responsibilities.
• Communicate and liaise with regulatory bodies, respond promptly to 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, consistently driving continuous improvement.
• Escalate breaches of policies/procedures appropriately.
• Take responsibility for embedding new policies/procedures adopted due to risk mitigation.
• Advise and influence decision-making within your area of expertise.
• Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to.
• Deliver work in line with relevant rules, regulations, and codes of conduct.
• Build and maintain an understanding of how your sub-function integrates with the broader function and organization.
• Resolve problems by identifying and selecting solutions through acquired technical experience and precedents.
• Guide and persuade team members and communicate complex/sensitive information.
• Act as a contact point for stakeholders outside of the immediate function, building a network of contacts.

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.

Skills

• 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 key critical skills such as risk and controls, change and transformation, business acumen, strategic thinking, and digital and technology, as well as job-specific technical skills.

Leadership Expectations

• Lead and supervise a team, guiding and supporting professional development, allocating work requirements, and coordinating team resources.
• Demonstrate the Barclays LEAD behaviors: Listen and be authentic, Energize and inspire, Align across the enterprise, Develop others.
• For individual contributors: Develop technical expertise in your work area, acting as an advisor where appropriate.
• Impact the work of related teams within the area.
• Partner with other functions and business areas.
• Take responsibility for end results of a team’s operational processing and activities.

Values

• Demonstrate the Barclays Values: Respect, Integrity, Service, Excellence, and Stewardship.
• Demonstrate the Barclays Mindset: Empower, Challenge, and Drive.

Pay

Minimum Salary: $80,000
Maximum Salary: $105,000
The salary range includes only base salary or base hourly rate. It does not include other types of compensation or benefits.

Benefits

• Competitive and generous employee benefits, including medical, dental, and vision coverage.
• 401(k).
• Life insurance.
• Paid leave for qualifying circumstances.
• Eligibility for an incentive award.

Location

This role is located in Whippany, NJ.