Job Description

Join to apply for the Broker Dealer Regulatory Director role at Barclays Business Banking . US Broker Dealer Regulatory Reporting is part of the Financial Control function within the Americas Finance umbrella, supporting all businesses within BCI. The team ensures the US Broker Dealer entity complies with financial responsibility rules set by SEC/FINRA/CFTC/CME, including customer protection, capital requirements, and regulatory filings. They interpret broker dealer rules and regulations, providing guidance on transactions and product developments with regulatory implications. The Regulatory Reporting Director will support the head of Regulatory Reporting, overseeing critical functions like the monthly FOCUS report and 15c3-1 Net Capital computation. Responsibilities include managing regulatory transformation initiatives, implementing new regulations, and ensuring processes are sustainable and compliant. The ideal candidate is a motivated leader with process improvement skills and the ability to oversee complex processes. This role involves extensive US Broker-Dealer financial reporting, engaging with various internal teams such as Operations, Finance, Risk, Treasury, Compliance, and Legal. Essential Skills/Qualifications Experience in SEC/FINRA Broker Dealer Regulatory Reporting, especially 15c3-1 Net Capital and FOCUS reporting. Understanding operational records and settlement mechanics of a broker dealer. Leadership experience and ability to manage a team. Independence in task execution, with good problem escalation skills. Attention to detail and stakeholder communication skills, including with senior management and regulators. Preferred Skills/Qualifications Experience with other regulatory reporting areas such as 15c3-3 customer reserve or CFTC segregation requirements. Strong analytical skills and proficiency with spreadsheets and problem-solving. Ability to build relationships across teams and with senior management. Role Purpose To identify, assess, and mitigate regulatory reporting risks, oversee compliance, and maintain communication with regulators to ensure adherence to laws and policies. Accountabilities Assess and develop strategies to mitigate regulatory reporting risks. Evaluate internal controls and governance, addressing weaknesses. Prepare and submit regulatory reports, support other departments, and analyze data for insights. Develop training on regulatory requirements, liaise with regulators, and manage reporting systems. Leadership Expectations Manage a business function, contribute to strategic initiatives, and lead teams or projects. Guide compliance, influence policy, and stay informed on industry developments. Make strategic decisions, influence stakeholders, and represent the function externally. All senior leaders should embody Barclays' LEAD behaviors: Listen, Energize, Align, Develop, and uphold Barclays' Values: Respect, Integrity, Service, Excellence, Stewardship, along with the Barclays Mindset: Empower, Challenge, Drive. #J-18808-Ljbffr Barclays Business Banking

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