Broker Dealer Regulatory Reporting Analyst

Barclays•Jefferson Park, NY

2d•$80,000 - $105,000•Onsite

About The Position

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.

Requirements

In-depth technical knowledge and experience in their assigned area of expertise.
Thorough understanding of the underlying principles and concepts within the area of expertise.
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.
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.

Nice To Haves

Working knowledge of the accounting, product, regulatory and operational aspects of a Broker/Securities Dealer.

Responsibilities

Identify, assess and mitigate prudential regulatory reporting risks.
Provide oversight on regulatory reporting.
Maintain open communication with regulators.
Ensure that the bank's activities and operations comply with all applicable laws, regulations, and internal control policies.
Prepare and submit regulatory reports to authorities.
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 programmes 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.
Support daily net capital computations.
Oversee requests from internal and external audits and regulatory examinations.