VP Broker Dealer Regulatory Reporting Position Available In Morris, New Jersey

Job Description:

We are seeking a highly skilled and motivated VP Broker DealerRegulatory Reporting to join our team and oversee the criticalfunction of complying with the various aspects of the broker dealerreporting team. Primary responsibilities include the preparationand supervision of the Customer reserve requirement in accordancewith SEC Rule 15c3-3, and various regulatory reports . The idealcandidate will possess natural leadership abilities and theexpertise to oversee complex regulatory reporting processes. Thisposition has extensive coverage of the US Broker-Dealer financialreporting information and will have exposure to a broad range ofthe entity’s products and business activities. It will have keyinterfaces with various audiences amongst infrastructure areas suchas Operations, Finance, Risk, Treasury, Compliance and Legal. To besuccessful as a VP Broker Dealer Regulatory Reporting, you shouldhave experience with: Expertise in

SEC/FINRA

Broker DealerRegulatory Reporting, including performing and overseeing the15c3-3 Customer Reserve computation process Understanding of theOperational records and settlement mechanics of a broker dealer Theability to independently execute tasks, challenge, and escalateissues where needed Attention to detail and ability to present tokey stakeholders including senior management and regulatorsDeveloping, implementing, and maintaining effective controls thatensure process integrity and compliance Some other highly valuedskills may include: Experience in other areas of regulatoryreporting including CFTC segregation requirements, SEC Rule 15c3-1Net Capital, and the Possession or Control Requirements of SEC Rule15c3-3. Detail oriented and analytical aptitude

• ability to workefficiently with advanced spreadsheets and solve problems withminimal guidance. Ability to build relationships across teams
• Operations, Product Control, Regulatory Reporting, Compliance, etc.

You may be assessed on the key critical skills relevant for successin role, such as risk and controls, change and transformation,business acumen strategic thinking and digital and technology, aswell as job-specific technical skills. This role is located inWhippany, NJ Purpose of the role To identify, assess and mitigateprudential regulatory reporting risks, provide oversight onregulatory reporting, and maintenance of open communication withregulators to ensure that the banks activities and operationscomply with all applicable laws, regulations, and internal controlpolicies. Accountabilities Identification and assessment ofprudential regulatory reporting risks arising from the banksactivities, products, and services. Development and implementationof strategies to mitigate prudential regulatory reporting risks,ensuring compliance with all applicable laws, regulations, andinternal control policies, and conduct regular compliance reviewsand audits to identify and address potential compliance gaps orviolations. Assessment of the effectiveness of the bank’s internalcontrol processes and governance framework, including addressingany weaknesses or gaps that could lead to regulatory reportingnon-compliance, and implementation of measures to strengtheninternal controls. Preparation and submission of regulatory reportsto authorities, and provision of support to other departments intheir preparation and review of regulatory reports. Analysis andpresentation of regulatory data to provide insights into businessperformance, identify trends, and support decision-making.

Development and implementation of training programmes to educateemployees on regulatory requirements and complianceresponsibilities. Communication and liaising with regulatorybodies, prompt responses to inquiries and provision of requestedinformation, and representation of the bank in meetings withregulators. Management of the selection, implementation, andmaintenance of regulatory reporting systems and softwareapplications, including collaboration with IT colleagues tointegrate regulatory reporting systems with other enterprisesystems. Vice President Expectations To contribute or set strategy,drive requirements and make recommendations for change. Planresources, budgets, and policies; manage and maintain policies/processes; deliver continuous improvements and escalate breaches ofpolicies/procedures If managing a team, they define jobs andresponsibilities, planning for the department’s future needs andoperations, counselling employees on performance and contributingto employee pay decisions/changes. They may also lead a number ofspecialists to influence the operations of a department, inalignment with strategic as well as tactical priorities, whilebalancing short and long term goals and ensuring that budgets andschedules meet corporate requirements If the position hasleadership responsibilities, People Leaders are expected todemonstrate a clear set of leadership behaviours to create anenvironment for colleagues to thrive and deliver to a consistentlyexcellent standard.

The four LEAD behaviours are:

L

• Listen and beauthentic, E
• Energise and inspire, A
• Align across theenterprise, D
• Develop others OR for an individual contributor,they will be a subject matter expert within own discipline and willguide technical direction.

They will lead collaborative, multi-yearassignments and guide team members through structured assignments,identify the need for the inclusion of other areas ofspecialisation to complete assignments. They will train, guide andcoach less experienced specialists and provide informationaffecting long term profits, organisational risks and strategicdecisions Advise key stakeholders, including functional leadershipteams and senior management on functional and cross functionalareas of impact and alignment. Manage and mitigate risks throughassessment, in support of the control and governance agenda.

Demonstrate leadership and accountability for managing risk andstrengthening controls in relation to the work your team does.

Demonstrate comprehensive understanding of the organisationfunctions to contribute to achieving the goals of the business.

Collaborate with other areas of work, for business aligned supportareas to keep up to speed with business activity and the businessstrategies. Create solutions based on sophisticated analyticalthought comparing and selecting complex alternatives. In-depthanalysis with interpretative thinking will be required to defineproblems and develop innovative solutions. Adopt and include theoutcomes of extensive research in problem solving processes. Seekout, build and maintain trusting relationships and partnershipswith internal and external stakeholders in order to accomplish keybusiness objectives, using influencing and negotiating skills toachieve outcomes. All colleagues will be expected to demonstratethe Barclays Values of Respect, Integrity, Service, Excellence andStewardship

• our moral compass, helping us do what we believe isright. They will also be expected to demonstrate the BarclaysMindset
• to Empower, Challenge and Drive
• the operating manualfor how we behave.