VP Broker Dealer Regulatory Reporting
| Company | Barclays |
|---|---|
| Location | Parsippany-Troy Hills, NJ, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | |
| Experience Level | Senior, Expert or higher |
Requirements
- Expertise in SEC/FINRA Broker Dealer Regulatory Reporting, including performing and overseeing the 15c3-3 Customer Reserve computation 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
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
- Preparation and submission of regulatory reports to authorities
- Analysis and presentation of regulatory data to provide insights into business performance
- Development and implementation of training programmes to educate employees on regulatory requirements and compliance responsibilities
- Communication and liaising with regulatory bodies
- Management of the selection, implementation, and maintenance of regulatory reporting systems and software applications
Preferred Qualifications
- Experience in other areas of regulatory reporting including CFTC segregation requirements, SEC Rule 15c3-1 Net Capital, and the Possession or Control Requirements of SEC Rule 15c3-3
- 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.