SEC-FINRA Capital SME
As a Barclays US Broker Dealer Regulatory Policy SME for Small to Medium Enterprises, you will act as a contact person and own front office and infrastructure queries on treatment for trades, structures or new business proposals under the US broker dealer regulatory rules. You will have the opportunity to help with provision of training on existing and emerging regulatory rules to stakeholders in the region.
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?
• Acting as a subject matter expert (SME) on assigned US Broker Dealer regulatory matters such as SEC Rule 15c3-1 and Rule 15c3-3
• Tracking of regulatory changes issued by supervisory authorities and communication and implementation support to regulatory reporting teams and other stakeholders
• Working with the Regulatory Reporting team to ensure that policy advice and regulatory reforms are appropriately interpreted and documented
• Participating in advocacy initiatives either via direct response to rule makers or in conjunction with trade associations on all capital related items
• Reviewing of regulators' consultation papers, discussing impacted business groups with industry associations, and writing responses on behalf of Barclays
• Coordinating exercises to maintain a highly controlled environment including providing assistance to external audit and regulatory examination
• Participating in ad-hoc projects in relation to consultations and new regulations
• Producing formally written regulatory policy analysis presenting the formal view of the team on a given policy matter What we're looking for:
• Bachelor's degree or equivalent years of services
• Great knowledge of investment banking/ markets products and services
• Great experience on interpreting SEC and FINRA financial responsibility rules Skills that will help you in the role:
• CFA, FRM, MBA or Legal qualification and experience/ education in a quantitative field
• Excellent interpersonal, written and oral communication skills, particularly in relation to conveying complex issues in a straightforward and concise manner
• The ability to work independently but also escalate points to line management as required
• Result-orientation with excellent attention to detail and a focus on accuracy of information Where will you be working?
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.