Broker Dealer Regulatory Reporting Analyst

Overview

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.

• Identification and assessment of prudential regulatory reporting risks arising from the bank's activities, products and services, and development of strategies to mitigate them.
• Assessment of the effectiveness of the bank’s internal control processes and governance framework, addressing any weaknesses or gaps that could lead to regulatory reporting non‑compliance.
• Preparation and submission of regulatory reports to authorities, and provision of support to other departments in their preparation and review.
• 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 liaison 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.

• SEC/FINRA Broker Dealer Regulatory Reporting or equivalent large institution reporting experience.
• Ability to autonomously execute tasks, evaluate and elevate issues when 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.

• Perform prescribed activities in a timely manner and to a high standard, consistently driving continuous improvement.
• Requires in-depth technical knowledge and experience in assigned area of expertise.
• Thorough understanding of the underlying principles and concepts within the area.
• Lead and supervise a team, guiding and supporting professional development, allocating work requirements and coordinating resources.
• Demonstrate the four LEAD behaviours:
  Listen and be authentic, Energise and inspire, Align across the enterprise, Develop others.
• Act as an advisor where appropriate, develop technical expertise and influence decision making within own area of expertise.
• Take responsibility for embedding new policies and procedures adopted due to risk mitigation.
• Advise and influence decision making within own area of expertise.
• Take ownership for managing risk and strengthening controls in relation to work owned or contributed to.
• Maintain and continually build an understanding of how own sub‑function integrates with function.
• Show evaluative judgement based on analysis of factual information, paying attention to detail.
• Resolve problems by identifying and selecting solutions through application of technical experience.
• Act as contact point for stakeholders outside the immediate function, while building a network of contacts both inside and outside the organisation.

Whippany, NJ.

Minimum: $80,000. Maximum: $105,000. Base salary only – does not include other compensation or benefits.

Barclays employees are eligible for a suite of 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; maintain open communication with regulators; ensure that the bank's activities and operations comply with all applicable laws, regulations and internal control policies.