Broker Dealer Regulatory Reporting Analyst Job at Barclays (Whippany)

Lead Financial Reporting Analyst

Wells Fargo is seeking a Lead Financial Reporting Analyst.

Location

India , Hyderabad

Salary:

Not provided

Wells Fargo

Expiration Date

August 17, 2026

Requirements

5+ years of Finance, Accounting, Financial Reporting experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
B. Tech/CA/MBA degree or higher preferred with relevant 5+years of experience in one or a combination of the following: finance, accounting, analytics, and reporting
Demonstrate solid analytical skills from a Regulatory Reporting perspective. Specifically, Basel and Capital Reporting.
Ability to actively participate in workflow and task execution within a team environment
Experience in US Regulatory Reporting highly desired
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Knowledge and understanding of research and analysis
Ability to work effectively in a team environment and across all organizational levels
Solid analytical skills including the ability to handle multiple projects concurrently

Job Responsibility

Meet the company’s regulatory, Security and Exchange Commission, and other external financial reporting requirements
Lead planning and execution strategy of large, complex external financial reporting requirements
Provide technical interpretation on various matters and is a key change agent in building and adopting best practices within the functional area
Lead implementation of the most complex projects and initiatives impacting multiple lines of business across the enterprise
Lead stakeholder development by maintaining ongoing interaction that increases their awareness, understanding, accountability, and engagement in the reporting process
Lead and direct accounting technical regulatory capital and regulatory reporting guidance
Lead technical advisory and reporting delivery in the company’s coordination of the regulatory reporting reviews performed by United States Federal Banking and Broker Dealer agencies
Identify compliance and risk management requirements for supported area and work with other stakeholders to implement key risk initiatives
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Communicate and provide strategic consultation to leadership throughout the enterprise

Senior Compliance Analyst

Our client, a self‑clearing broker‑dealer operating within a highly regulated fi...

Location

United States , Dallas

Salary:

30.00 - 40.00 USD / Hour

Beacon Hill

Expiration Date

Until further notice

Requirements

5-7 years of experience in broker‑dealer compliance, regulatory oversight, or supervisory roles
Bachelor's degree in Finance, Business Administration, Law, or a related field
Strong understanding of SEC, FINRA, and state regulatory requirements governing broker‑dealers
Comprehensive knowledge of financial products including equities, mutual funds, bonds, options, and alternative investments
Experience working for a broker‑dealer, investment bank, or investment advisory firm
Must hold or have previously held at least one of the following licenses: Series 7, Series 24, or Series 53
Exceptional attention to detail and accuracy
Strong communication, organizational, and problem‑solving skills
Ability to manage multiple projects and work independently in a fast‑paced environment
Experience with compliance systems such as FIS, LexisNexis, regulatory reporting platforms, or surveillance tools

Job Responsibility

Conduct reviews of trading activity, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and state regulations
Assist with maintaining and updating the firm's compliance policies, procedures, and supervisory controls
Support preparation and submission of regulatory filings, including Form U4, Form ADV, and other required reports
Provide training and guidance to internal teams on compliance policies and industry best practices
Assist with pre‑ and post‑hire compliance functions, including background checks, outside business activity reviews, personal trading approvals, and account statement/trade confirmation reviews
Maintain accurate and organized compliance documentation across multiple areas
Monitor regulatory changes, industry trends, and rule updates to ensure proactive compliance
Coordinate with internal teams to resolve compliance‑related issues and ensure proper documentation and follow‑up

Fulltime

Senior Compliance Analyst

Our client, a self‑clearing broker‑dealer operating within a highly regulated fi...

Location

United States , Dallas

Salary:

30.00 - 40.00 USD / Hour

Beacon Hill

Expiration Date

Until further notice

Requirements

5-7 years of experience in broker‑dealer compliance, regulatory oversight, or supervisory roles
Bachelor's degree in Finance, Business Administration, Law, or a related field
Strong understanding of SEC, FINRA, and state regulatory requirements governing broker‑dealers
Comprehensive knowledge of financial products including equities, mutual funds, bonds, options, and alternative investments
Experience working for a broker‑dealer, investment bank, or investment advisory firm
Must hold or have previously held at least one of the following licenses: Series 7, Series 24, or Series 53
Exceptional attention to detail and accuracy
Strong communication, organizational, and problem‑solving skills
Ability to manage multiple projects and work independently in a fast‑paced environment
Experience with compliance systems such as FIS, LexisNexis, regulatory reporting platforms, or surveillance tools

Job Responsibility

Conduct reviews of trading activity, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and state regulations
Assist with maintaining and updating the firm's compliance policies, procedures, and supervisory controls
Support preparation and submission of regulatory filings, including Form U4, Form ADV, and other required reports
Provide training and guidance to internal teams on compliance policies and industry best practices
Assist with pre‑ and post‑hire compliance functions, including background checks, outside business activity reviews, personal trading approvals, and account statement/trade confirmation reviews
Maintain accurate and organized compliance documentation across multiple areas
Monitor regulatory changes, industry trends, and rule updates to ensure proactive compliance
Coordinate with internal teams to resolve compliance‑related issues and ensure proper documentation and follow‑up

Fulltime

Senior Business Analyst - Post-Trade & Regulatory Change

We are seeking an experienced Senior Business Analyst / Operations Coordinator t...

Location

United States , New York

Salary:

110000.00 - 135000.00 USD / Year

Talan

Expiration Date

Until further notice

Requirements

+10 years of relevant experience in capital markets Operations, post-trade, or back-office transformation roles
Strong expertise in broker-dealer Operations workflows for cash equities and US options, including clearing and custody
Solid understanding of trade lifecycles and post-trade processing
Hands-on knowledge of DTCC and OCC workflows, including TradeSuite interfaces
Experience contributing to or leading a back-office conversion or migration project
Understanding of how OMS feeds back-office systems and how those systems interface with clearinghouses and the general ledger
Good understanding of project governance and documentation best practices

Job Responsibility

Represent Operations in all conversion and vendor meetings, acting as a key point of coordination between internal teams and Broadridge
Produce clear conversion documentation, including executive summaries, key decisions, and deliverables for senior Operations stakeholders
Support the existing roadmap by contributing to key tasks, milestones, and dependencies
Assist in the creation of the chart of accounts for the new subledger
Own testing documentation and execution, including test scripts, expected results, actual results, gap analysis, and remediation tracking, across: Trade capture
Trade settlement
Asset servicing
Non-financial regulatory reporting (Short Interest, Reg SHO)
Security Master and Account Master
Cash and position reconciliations (system vs clearinghouse vs general ledger)

What we offer

401(k) retirement plan with company matching
15 days of paid vacation per year at hire and up to 27 according to seniority (annual untaken vacation days are cashed out)
8 paid holidays + 5 sick days + 2 personal days per year
Company health, dental, and vision insurance plans + FSA
Voluntary STD and LTD
Commuter/transit benefits

Fulltime

Asset Servicing Intermediate Analyst

The Asset Servicing Intermediate Analyst role involves working in Voluntary Corp...

Location

United Kingdom , London

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Previous experience in Voluntary Corporate Actions in a broker dealer environment
Evidence of ability to perform multiple tasks and work towards multiple deadlines
Able communicator with strong written and verbal communication skills
Comfortable working in a team environment and using own initiative
Able to drive own performance and willing to learn
Can manage time effectively
Proficient in MS Office (Excel and Word)
Self-reliant, good problem solver, and results oriented
Strong attention to detail
Ability to partner with other teams to provide innovative solutions

Job Responsibility

Plan and execute daily assigned activities efficiently
Investigate any issues that may arise and direct to appropriate departments
Support preparation and submission of internal and external regulatory reports
Identify procedure gaps and make suggestions for process transformation
Apply understanding of how team integrates with others
Effectively communicate and collaborate with colleagues and stakeholders
Be involved in user testing of new technology enhancements

What we offer

Generous holiday allowance starting at 27 days plus bank holidays
Discretional annual performance-related bonus
Private medical insurance packages
Employee Assistance Program
Pension Plan
Paid Parental Leave
Special discounts for employees, family, and friends
Access to learning and development resources

Fulltime

Trade Compliance Analyst

This role plays a critical part in ensuring robust oversight of the firm’s publi...

Location

United States , Palo Alto

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Bachelor’s degree required
1–3 years of experience in investment adviser compliance, trade surveillance, fund operations, broker‑dealer operations, public‑company reporting, or related legal/paralegal work
Understanding of public‑company trading rules, insider‑trading regulations, and MNPI controls

Job Responsibility

Prepare and review trade authorization forms
Conduct daily monitoring of trading activity across multiple funds and identify exceptions or potential regulatory filings
Ensure trading activity aligns with firm policies and securities regulations
Support pre‑trade checks, restricted list management, and approval workflows
Help enhance trade surveillance tools, systems, and data integrations
Contribute to risk assessments and evaluations of information barriers
Support employee training on MNPI controls, restricted lists, and trading policies
Collaborate with Trading, Finance, and Accounting teams to ensure accuracy and completeness of trade‑related data

What we offer

Highly competitive base salary + annual bonus
Comprehensive health, life, and long‑term disability benefits
Strong 401(k) program
Hybrid work model
Supportive, mentorship‑focused team committed to long‑term professional growth

New

Loss Prevention Analyst, Fraud Monitoring, Fraud Investigations & Reporting

The Fraud Monitoring Loss Prevention Analyst is responsible for conducting compr...

Location

United States , St Petersburg

Salary:

Not provided

Raymond James

Expiration Date

Until further notice

Requirements

Bachelor’s Degree (B.A.) from a four-year college or university in a related field
Minimum of 3-5 years’ experience in anti-fraud/anti-financial crime investigatory or analysis in the securities or financial industry
Knowledge of fraud typologies, detection methods, and regulatory requirements
Knowledge of chargeback, recoveries and representments
Knowledge of rules and regulations of the USA PATRIOT Act, Bank Secrecy Act, Regulation E, Reg S-ID, and any other applicable fraud-related regulatory or industry rules and guidance
Knowledge of broker-dealer operations, transaction methods and financial products, and financial services industry practices
Knowledge of principles of banking, finance and securities industries
Skill in identifying irregularities and red flags
Skill in performing critical analysis supported by clear and accurate documentation
Skill in drafting clear, concise, and compliant alert/case narratives and e-mails

Job Responsibility

Conduct end-to-end transaction analysis alert reviews for matters arising from account surveillance, fraud monitoring systems, and branch escalations
Apply strong knowledge of Regulation E (Reg E), including error resolution requirements, timelines, consumer protections, and documentation standards to ensure compliance in fraud and dispute handling
Manage recovery processes end-to-end, including executing indemnification agreements, processing representments, performing chargeback analysis, and coordinating with internal and external partners to maximize loss recovery
Conduct inquiries to the branch and/or other areas of the business to inform fact gathering and analysis
Serve as a central point of contact and drive prompt resolution of Capital Access-related fraud concerns raised by branches and clients via Loss Prevention hotline, while maintaining a high level of customer service
Make sound, risk-based decisions regarding potential fraud events, including determining suspicious activity, initiating recovery efforts, restricting accounts, and escalating cases when appropriate
Identify process inefficiencies and recommend or implement improvements to enhance fraud detection and operational effectiveness
Maintain up-to-date knowledge of fraud typologies, regulatory changes, and industry best practices
Uphold a high standard of confidentiality, integrity, and professionalism in all aspects of work
Stay informed on emerging fraud trends, regulatory changes, and industry best practices

Fulltime

New

Compliance/Operations Analyst

We are looking for a Compliance/Operations Analyst to join our team in New York,...

Location

United States , New York

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Bachelor’s degree in Accounting, Finance, or a related field
At least 6 months of experience in accounting, auditing, compliance, or financial services operations
Experience from a Broker Dealer or the broader financial services industry

Job Responsibility

Review and process new account documentation
Ensure completeness and regulatory accuracy of client files
Follow up on missing documentation
Maintain organized electronic records
Perform KYC, CIP, and AML documentation checks
Conduct TRACE trade reporting reviews and reconciliations
Assist with internal and external audit preparation
Escalate potential compliance concerns appropriately
Support periodic credit review processes
Gather and analyze required credit documentation

What we offer

medical
vision
dental
life and disability insurance
401(k) plan

Broker Dealer Regulatory Reporting Analyst

Barclays

Location:
United States , Whippany

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
January 16, 2026

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Job Posted:January 16, 2026

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