Barclays · 1 day ago
Broker Dealer Regulatory Reporting VP
Whippany, NJ
Full-time
Onsite
Senior Level
$150K/yr - $210K/yrBarclays is seeking a Broker Dealer Regulatory Reporting VP to oversee compliance within the broker dealer reporting team. This role involves preparing and supervising regulatory reports, managing the Net Capital calculation, and ensuring adherence to SEC regulations while collaborating with various internal departments.
BankingConsumerFinancial ServicesWholesale
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
Required
Expertise in SEC/FINRA Broker Dealer Regulatory Reporting, including performing and overseeing the 15c3-1 Net Capital calculation process
Understanding of the Operational records and settlement mechanics of a broker dealer
The ability to independently execute tasks, challenge, and escalate issues where needed
Attention to detail and ability to present to key stakeholders including senior management and regulators
Developing, implementing, and maintaining effective controls that ensure process integrity and compliance
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
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
Preparation and submission of regulatory reports to authorities
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
Management of the selection, implementation, and maintenance of regulatory reporting systems and software applications
Contribute or set strategy, drive requirements and make recommendations for change
Plan resources, budgets, and policies; manage and maintain policies/processes
Deliver continuous improvements and escalate breaches of policies/procedures
Define jobs and responsibilities, planning for the department's future needs and operations
Counsel employees on performance and contributing to employee pay decisions/changes
Demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive
Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment
Manage and mitigate risks through assessment, in support of the control and governance agenda
Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does
Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business
Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies
Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives
In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions
Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders
Preferred
Experience in other areas of regulatory reporting including CFTC segregation requirements, SEC Rule 15c3-3 Customer Reserve, and the Possession or Control Requirements
Detail oriented and analytical aptitude - ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance
Ability to build relationships across teams – Operations, Product Control, Regulatory Reporting, Compliance, etc
Benefits
Medical, dental and vision coverage
401(k)
Life insurance
Other paid leave for qualifying circumstances
This position is eligible for an incentive award.
Company
Barclays
Barclays is a transatlantic consumer and wholesale bank with global reach, offering products, and services.
Founded in 1690
10001+ employees
H1B Sponsorship
Barclays has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (621)
2024 (610)
2023 (639)
2022 (720)
2021 (571)
2020 (448)
Funding
Current Stage
Public CompanyTotal Funding
unknown1986-09-09IPO
Leadership Team
Geoffrey Belsher
Chief Executive Officer for Canada
David Morris
Head of Engineering, Colleague Platforms
Recent News
2026-01-17
2026-01-16
Company data provided by crunchbase