Job Details

Assistant Vice President (AVP) – Broker Dealer Regulatory Reporting Whippany, NJ

As a Barclays AVP – Broker Dealer Regulatory Reporting, this is exciting opportunity as you assist with critical production function of various local broker/ securities dealer regulatory reporting required by the Securities & Exchange Commission & CFTC. You’ll serve as the first line of defense in a controlling capacity for requisite information required by regulators as part of the daily, monthly & quarterly cycle reporting.

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?

• Producing reporting of the Daily Net Capital calculation (SEC Rule 15c3-1) & Weekly Customer Reserve computation (SEC Rule 15c3-3) • Supporting the preparation of the monthly FOCUS Report, and supporting schedules • Preparing of analytics on the monthly FOCUS report including senior management analysis and target MI for the infrastructure areas • Assisting in executing regulatory reporting automation projects, including identifying processes for automation, providing business requirements, and testing • Identifying, evaluating, and implementing new or amended rules that have regulatory reporting impact • Escalating any issues to management that may have an adverse effect on BCI regulatory reporting • Assisting ad-hoc regulatory requests from various stakeholders and cross training and articulating concepts/processes to new team joiners • Enhancing process efficiencies through automation and/or process redesign and liaising with IT on critical automation and process enhancement projects

What we’re looking for:

• Four-year college degree (preferably Accounting/Finance) • 3+ years’ experience in Broker/Securities Dealer Regulatory Reporting related to SEC rule 15c3-1 & 15c3-3 coverage; regulatory examination/audit equivalent experience • Excellent 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 • Knowledge of the Axiom application • Detail oriented and strong analytical aptitude - ability to work efficiently with advance spreadsheets and solve problems with minimal guidance • Ability to work collaboratively within team & build relationships across teams

Where will you be working?

At Barclays, we are proud to be redefining the future of finance and here at Whippany we are defining the future of the workplace and the future of the way we work and live. We are creating a unique community, one of four strategic tech-enabled hubs that will redefine opportunity for everyone who works here. Whatever you do at Whippany, you’ll have every chance to build a world-class career in this world-class environment.