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Barclays Investment Bank · 8 hours ago

Broker Dealer Regulatory Reporting Analyst

Building 300-115 South Jefferson Rd Campus, Whippany

Full-time

Onsite

Mid, Senior Level

$80K/yr - $105K/yr

Barclays Investment Bank is seeking a Broker Dealer Regulatory Reporting Analyst to support regulatory compliance and reporting requirements. The role involves identifying and mitigating regulatory reporting risks, preparing mandatory reports, and ensuring adherence to standards through oversight of audits and examinations.

BankingFinancial Services

Responsibilities

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

Qualification

SEC/FINRA ReportingRegulatory ComplianceRisk ManagementAccounting KnowledgeAnalytical SkillsEffective CommunicationAttention to DetailTeam Collaboration

Required

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

Preferred

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

Benefits

Medical, dental and vision coverage

401(k)

Life insurance

Other paid leave for qualifying circumstances

Company

Barclays Investment Bank

Barclays Investment Bank offers large corporate clients with strategic advisory, financing, and risk management solutions. It is a sub-organization of Barclays Corporate Banking.

Founded in 1997