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Broker Dealer Regulatory Reporting Analyst

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Barclays

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Location:
United States , Whippany

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Category:

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Contract Type:
Not provided

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Salary:

80000.00 - 105000.00 USD / Year

Job Description:

Join Barclays as a Broker Dealer Regulatory Reporting Analyst, where you’ll play a key role in supporting daily net capital computations and ensuring compliance with U.S. broker-dealer regulatory requirements. You will prepare and submit mandatory reports to governing bodies such as FINRA, SEC, CFTC, and CME, maintaining accuracy and timeliness. In this role, you’ll also oversee requests from internal and external audits and regulatory examinations, ensuring transparency and adherence to standards. This is an exciting opportunity to contribute to the integrity and resilience of our regulatory reporting framework.

Job Responsibility:

  • Support daily net capital computations and ensure compliance with U.S. broker-dealer regulatory requirements
  • Prepare and submit mandatory reports to governing bodies such as FINRA, SEC, CFTC, and CME
  • Oversee requests from internal and external audits and regulatory examinations
  • Identify, assess and mitigate prudential regulatory reporting risks
  • Provide oversight on regulatory reporting, and maintenance of open communication with regulators
  • Assess the effectiveness of the bank’s internal control processes and governance framework
  • Prepare and submit regulatory reports to authorities, and provision of support to other departments in their preparation and review of regulatory reports
  • Analyze and present regulatory data to provide insights into business performance
  • Develop and implement training programmes to educate employees on regulatory requirements
  • Communicate and liaise with regulatory bodies
  • Manage the selection, implementation, and maintenance of regulatory reporting systems and software applications

Requirements:

  • SEC/FINRA Broker Dealer Regulatory Reporting or equivalent large institution reporting experience
  • Ability to autonomously execute tasks, evaluate and escalate issues where needed
  • Attention to detail and ability to present to key stakeholders, including senior leadership and regulators

Nice to have:

  • Working knowledge of the accounting, product, regulatory and operational aspects of a Broker/Securities Dealer
  • Detail oriented and analytical aptitude - ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance
  • Effective communication and ability to build relationships across teams
What we offer:
  • Medical, dental and vision coverage
  • 401(k)
  • Life insurance
  • Other paid leave for qualifying circumstances
  • Incentive award eligibility

Additional Information:

Job Posted:
January 16, 2026

Employment Type:
Fulltime
Work Type:
Hybrid work
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