Operations Regulatory Control AVP
As a Barclays Operational Regulatory Control AVP, you will be responsible for supervising a regional team of 7 individuals, managing Regulatory Reporting submissions to protect client assets and developing and driving forward the Control framework for the associated regulations. You will have a chance to oversee detailed analytics to identify root cause issues, and strategically drive the regional agenda.
Barclays is one of the world's largest and most respected financial institutions, with 329 years of success, quality and innovation behind us. We've helped millions of individuals and businesses thrive, creating financial and digital solutions that the world now takes for granted. An important and growing presence in the USA, we offer careers providing endless opportunity. What will you be doing?
What we're looking for:
- You will be responsible for monitoring and validating regulatory reporting requirements through comprehensive reviews of these regulatory filings
- Interacting with Finance, various Operations groups, Middle Office, Technology and outside Regulators to complete regulatory reports and monitor the processes
- You will be involved in getting accurate data for the reports compiled
- Completing of Short Interest and Portfolio Margin reporting submitted to FINRA including data validation for accuracy
- Preparing and analysing data used in submitting the Customer Margin Balances (Form R-1) report to FINRA
- Assisting in the compilation of 15c3-1 and 15c3-3 components such as suspense and fails reporting and possession or control
- Identifying potential process improvements
- Create ad-hoc projects in regard to new regulatory requirements to ensure that the Firm remains compliant
Skills that will help you in the role:
- Bachelor's Degree
- 3+ years of US Regulatory/Compliance experience (e.g., 15c3-1, 15c3-3)
- 2+ years working under FINRA, NASD, NYSE and SEC Rules and Regulations
- 2+ years of Investment Banking industry experience
Where will you be working?
- Understanding of various asset classes (e.g., Equity, Debt, Derivatives)
- Strong organizational skills, ability to work under tight deadlines
- Excellent analytical and business skills, ability to manage multiple tasks and projects
- Must be a self-starter who is comfortable working in a very dynamic environment
You will be working at our Americas Headquarters at 745 Seventh Avenue. This 37-story office tower is located in Times Square in the heart of Manhattan and features a cafeteria, fitness center and state-of-the-art LED signage on the facade of the building.