Jefferson Park, New York, United States · On-site
$80k–$105k/yr
Job Description Purpose of the role To identify, assess and mitigate prudential regulatory reporting risks, provide oversight on regulatory reporting, and maintenance of open communication with regulators to ensure that …
Skills: SEC Reporting, FINRA Reporting, Prudential Regulatory Reporting, Risk Mitigation, Internal Controls
New York, New York, United States · On-site
$200k–$260k/yr
Job Description Purpose of the role To oversee and manage transactional processes, ensuring compliance with legal and regulatory requirements, and maintaining accurate documentation for financial transactions. Accountabi…
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New York, New York, United States · Hybrid
$114k–$170k/yr
Position Title: Manager, Fleet Strategy & Analysis (LSC) Position Summary The Manager, Fleet Strategy & Analysis is responsible for the analysis, recommendation, negotiation, and execution of fleet related strategic proj…
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Buffalo, New York, United States · Hybrid
$75k–$124k/yr
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New York, New York, United States · Hybrid
$170k–$308k/yr
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New York, New York, United States · On-site
$104k–$130k/yr
At DraftKings, AI is becoming an integral part of both our present and future, powering how work gets done today, guiding smarter decisions, and sparking bold ideas. It’s transforming how we enhance customer experiences,…
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New York, New York, United States · On-site
$85k–$90k/yr
Overview SP+, a Metropolis company, is an artificial intelligence company for the real world. We use computer vision to enable checkout-free parking experiences. So there’s no fumbling with tickets, machines, apps, or cr…
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New York, New York, United States · On-site
$160k–$185k/yr
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New York, New York, United States · Hybrid
$60k–$70k/yr
About BRIC: BRIC is a leading arts and media institution anchored in Downtown Brooklyn whose work spans contemporary visual and performing arts, media, and civic action. For over forty years, BRIC has shaped Brooklyn’s c…
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City of Kingston, New York, United States · On-site
$18/hr–$18/hr
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Skills: Cash Handling, Customer Service, Verbal Communication, Written Communication, Account Opening
New York, New York, United States · Hybrid
$51k–$60k/yr
Posting Description Who We Are:NFP, an Aon company, is a multiple Best Places to Work award winner in Business Insurance. We are an organization of consultative advisors and problem solvers. We help companies and individ…
Skills: Client Service, Billing, Invoicing, Payment Processing, Data Analysis
Town/Village of Harrison, New York, United States · On-site
$45k–$75k/yr
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New York, New York, United States · On-site
$100k–$130k/yr
Pembrooke and Ives is looking for a Senior Project Controls Manager with at least 6-10 years experience to partner with Directors and Studio Leads to manage firm-wide staffing allocation and project profitability across …
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New York, New York, United States · Remote Solely
About the company Hi, we're Ondo Finance. Our mission is to provide institutional-grade, blockchain-enabled investment products and services. We have both a technology arm that develops decentralized finance technology, …
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Town of Henrietta, New York, United States · On-site
$110k–$125k/yr
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Skills: Multi-currency Management, FX Strategy, Customs Compliance, ERP Optimization, Financial Modeling
New York, New York, United States · Hybrid
$250k–$300k/yr
Position Title: Head of Internal Audit (NY) Entity: KBRA Holdings LLC Employment Type: Full-Time Location: New York, New York Summary: KBRA is seeking a Head of Internal Audit to lead and further develop the firm’s globa…
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New York, New York, United States · On-site
$181k–$285k/yr
Help shape the future of identity while protecting customers who trust us with sensitive information. In this role, you will make it simple and safe for customers to keep their identity data current and help catch and fi…
Skills: Identity Lifecycle Management, Fraud Prevention, Account Takeover Prevention, Product Management, Identity Verification
New York, New York, United States · Hybrid
$130k–$150k/yr
The Team The Commercial Strategy & Revenue Operations team exists to solve some of TheGuarantors' highest-priority commercial challenges. We identify opportunities to grow the business, develop strategies to capture them…
Skills: Management Consulting, Business Operations, Analytical Thinking, Strategic Planning, Stakeholder Management
City of Albany, New York, United States · On-site
$60k–$66k/yr
Description Community / Property Manager - Affordable Housing | Albany, NY Salary: $60,000.00 - $66,000.00 | Full-Time | Monday-Friday, 40hrs Be the Heart of a Community At Conifer Realty, being a Community Manager means…
Skills: Property Management, Affordable Housing Compliance, LIHTC Management, HUD Project-Based Files, Leasing
New York, New York, United States · Remote Solely
About the company Hi, we're Ondo Finance. Our mission is to provide institutional-grade, blockchain-enabled investment products and services. We have both a technology arm that develops decentralized finance technology, …
Skills: Technical Support, Customer Support, Troubleshooting, Written Communication, Problem Solving
Jefferson Park, New York, United States • On-site
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The role focuses on identifying and mitigating prudential regulatory reporting risks while ensuring compliance with U.S. broker-dealer laws. Key duties include preparing and submitting mandatory reports to FINRA, SEC, CFTC, and CME, and managing relationships with regulatory bodies.
Candidates must have SEC/FINRA Broker-Dealer regulatory reporting experience from a large institution. Proficiency in autonomous task execution, attention to detail, and the ability to present to senior leadership and regulators are required.
To identify, assess and mitigate prudential regulatory reporting risks, provide oversight on regulatory reporting, and maintenance of open communication with regulators to ensure that the bank's activities and operations comply with all applicable laws, regulations, and internal control policies.
All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship – our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset – to Empower, Challenge and Drive – the operating manual for how we behave.
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.
To be successful as a Broker Dealer Regulatory Reporting Analyst, you should have:
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
Some other highly valued skills may include:
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
You may be assessed on the key critical skills relevant for success in this role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills.
This role is located in Whippany, NJ.
Minimum Salary: $80,000
Maximum Salary: $105,000
The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any another type of compensation or benefits that may be available.
Barclays employees are eligible for a suite of a competitive and generous employee benefits, including medical, dental and vision coverage, 401(k), life insurance, and other paid leave for qualifying circumstances.
This position is eligible for an incentive award.
Banking you expect, with the data and insights you don’t. We look beyond numbers to give our clients the big picture.
We provide corporate banking services to UK businesses with an annual turnover of over £6.5 million. Follow us for insights and inspiration. Social media T&Cs: http://barc.ly/1JxOuPF Barclays Bank PLC is registered in England (Company No. 1026167) with its registered office at 1 Churchill Place, London E14 5HP. Barclays Bank PLC is authorised by the Prudential Regulation Authority, and regulated by the Financial Conduct Authority (Financial Services Register No. 122702) and the Prudential Regulation Authority. Barclays is a trading name and trade mark of Barclays PLC and its subsidiaries.
Offices: 1 Churchill Place, London, E14 5HP, GB · One Molesworth Street, Dublin, D02 RF29, IE
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