Analyst- US Regulatory Reporting Analyst- US Regulatory Reporting …

Barclays
in Whippany, NJ
Permanent, Full time
Last application, 11 May 21
Competitive + Excellent Benefits
Barclays
in Whippany, NJ
Permanent, Full time
Last application, 11 May 21
Competitive + Excellent Benefits
As a Barclays Regulatory Reporting Analyst, you will primarily be responsible for the critical production function of various local broker/ securities dealer regulatory reporting. You will have an opportunity to provide change in developing and enhancing the regulatory risk control framework within and beyond Finance, while developing key management information metrics and reporting to senior management and external stakeholders.

What will you be doing?

  • Participating requisite regulatory calculations under SEA Rule 15c3-1 Net Capital and 15c3-3 Customer Reserve
  •  Supporting the preparation of the monthly FOCUS Report, and supporting schedules, which includes balance sheet, income statement and various supplemental schedules
  • Preparing analytics on the monthly FOCUS report including senior management analysis and target MI for the infrastructure areas
  • Interfacing with Entity Control, Product Control, Treasury, Operations and FDS to ensure that the assigned aspects of regulatory reporting are reported on a complete
  • Collaborating with different infrastructure areas within and outside of Finance in order to educate them
  • Identifying and developing regulatory analytics to assist management in addressing areas of concern and/or optimization opportunities within the broker dealer entity
  • Identifying, developing and improving the overall control framework for regulatory reporting through enhancements and efficiencies across work flow assignments
  • Advocating for control compliance for SEC Rule 17a5 and interface with the control team during conformance reviews

What we’re looking for:

  • Bachelor’s degree (preferably Accounting/Finance) or equivalent years of services
  • Experience in Broker/Securities Dealer, Audit, or Finance Industry 
  • Exceptional level of PC skills (Microsoft suite including Excel, Word, PowerPoint)
  • Effective communication skills

Skills that will help you in the role:

  • Working knowledge of the accounting, product, regulatory and operational aspects of a Broker/Securities Dealer
  • Broker/Securities Dealer FOCUS Reporting and the related SEA 15c3-1 and 15c3-3 regulatory framework experience.
  • Detail oriented and strong analytical aptitude - ability to work efficiently with advance spreadsheets and solve problems with minimal guidance
  • Building relationships across teams – Operations, Product Control, Regulatory Reporting, Tax, Compliance, Balance Sheet Controls
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