Barclays Operations Regulatory and Control in New York City, New York
Barclays is a transatlantic consumer, corporate and investment bank offering products and services across personal, corporate and investment banking, credit cards and wealth management, with a strong presence in our two home markets of the UK and the US.
With over 325 years of history and expertise in banking, Barclays operates in over 40 countries and employs approximately 130,000 people. Barclays moves, lends, invests and protects money for customers and clients worldwide. Please visit our website here for more information.
About Operations Risk & Regulatory ControlThe Operations Risk & Regulatory Control group supports the Firm's submission of Short Interest reporting, Customer Margin Balances, Portfolio Margin reporting, certain charges in relation to 15c3-1 net capital reporting and certain items in relation to 15c3-3 customer reserve reporting and possession or control.
Ensure that all activities and duties are carried out in full compliance with regulatory requirements
· The Operations Regulatory Reporting AVP will be responsible for monitoring and validating regulatory reporting requirements through comprehensive reviews of these regulatory filings.
· The position will involve interaction with Finance, various Operations groups, Middle Office, Technology and outside Regulators to complete regulatory reports and monitor the processes involved in getting accurate data for the reports compiled.
· Completion of Short Interest and Portfolio Margin reporting submitted to FINRA including data validation for accuracy
· Preparation and analysis of data used in submitting the Customer Margin Balances (Form R-1) report to FINRA
· Assist in the compilation of 15c3-1 and 15c3-3 components such as suspense and fails reporting and possession or control
· Identify potential process improvements
· Ad-hoc projects in regard to new regulatory requirements to ensure that the Firm remains compliant
Risk and Control Objective
All Barclays colleagues have to ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards.
· 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
· 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
· Self-starter who is comfortable working in a very dynamic environment
Our customers deserve the best. The same goes for our employees. That's why at Barclays you'll receive a range of benefits that include a competitive salary and all the tools, technology and support you need to succeed.
Everything we do is shaped by the five values of Respect, Integrity, Service, Excellence and Stewardship. The values inform the foundations of our relationships with customers and clients, but they also shape how we measure and reward the performance of our employees. Simply put, success is not just about what you achieve, but about how you achieve it.
Dynamic working gives everyone at Barclays the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager.
Barclays is an equal opportunity employer and are opposed to discrimination on any grounds. For more detailed information, please visit our dedicated Diversity and Inclusion site here .
It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.
Title: Operations Regulatory and Control
Location: New York-New York City
Requisition ID: *90139246