VP Broker Dealer Regulatory Reporting

Location: Whippany
Posted on: June 23, 2025

Job Description:

We are seeking a highly skilled and motivated VP Broker Dealer Regulatory Reporting to join our team and oversee the critical function of complying with the various aspects of the broker dealer reporting team. Primary responsibilities include the preparation and supervision of the Customer reserve requirement in accordance with SEC Rule 15c3-3, and various regulatory reports . The ideal candidate will possess natural leadership abilities and the expertise to oversee complex regulatory reporting processes. This position has extensive coverage of the US Broker-Dealer financial reporting information and will have exposure to a broad range of the entity’s products and business activities. It will have key interfaces with various audiences amongst infrastructure areas such as Operations, Finance, Risk, Treasury, Compliance and Legal. To be successful as a VP Broker Dealer Regulatory Reporting, you should have experience with: Expertise in SEC/FINRA Broker Dealer Regulatory Reporting, including performing and overseeing the 15c3-3 Customer Reserve computation process Understanding of the Operational records and settlement mechanics of a broker dealer The ability to independently execute tasks, challenge, and escalate issues where needed Attention to detail and ability to present to key stakeholders including senior management and regulators Developing, implementing, and maintaining effective controls that ensure process integrity and compliance Some other highly valued skills may include: Experience in other areas of regulatory reporting including CFTC segregation requirements, SEC Rule 15c3-1 Net Capital, and the Possession or Control Requirements of SEC Rule 15c3-3. Detail oriented and analytical aptitude - ability to work efficiently with advanced spreadsheets and solve problems with minimal 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 success in 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 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 the banks activities and operations comply with all applicable laws, regulations, and internal control policies. Accountabilities Identification and assessment of prudential regulatory reporting risks arising from the banks activities, products, and services. Development and implementation of strategies to mitigate prudential regulatory reporting risks, ensuring compliance with all applicable laws, regulations, and internal control policies, and conduct regular compliance reviews and audits to identify and address potential compliance gaps or violations. Assessment of the effectiveness of the bank’s internal control processes and governance framework, including addressing any weaknesses or gaps that could lead to regulatory reporting non-compliance, and implementation of measures to strengthen internal controls. Preparation and submission of regulatory reports to authorities, and provision of support to other departments in their preparation and review of regulatory reports. Analysis and presentation of regulatory data to provide insights into business performance, identify trends, and support decision-making. Development and implementation of training programmes to educate employees on regulatory requirements and compliance responsibilities. Communication and liaising with regulatory bodies, prompt responses to inquiries and provision of requested information, and representation of the bank in meetings with regulators. Management of the selection, implementation, and maintenance of regulatory reporting systems and software applications, including collaboration with IT colleagues to integrate regulatory reporting systems with other enterprise systems. Vice President Expectations To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures If managing a team, they define jobs and responsibilities, planning for the department’s future needs and operations, counselling employees on performance and contributing to employee pay decisions/changes. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L – Listen and be authentic, E – Energise and inspire, A – Align across the enterprise, D – Develop others OR for an individual contributor, they will be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions Advise key stakeholders, including functional leadership teams and senior management on functional and cross functional areas of impact and alignment. Manage and mitigate risks through assessment, in support of the control and governance agenda. Demonstrate leadership and accountability for managing risk and strengthening controls in relation to the work your team does. Demonstrate comprehensive understanding of the organisation functions to contribute to achieving the goals of the business. Collaborate with other areas of work, for business aligned support areas to keep up to speed with business activity and the business strategies. Create solutions based on sophisticated analytical thought comparing and selecting complex alternatives. In-depth analysis with interpretative thinking will be required to define problems and develop innovative solutions. Adopt and include the outcomes of extensive research in problem solving processes. Seek out, build and maintain trusting relationships and partnerships with internal and external stakeholders in order to accomplish key business objectives, using influencing and negotiating skills to achieve outcomes. 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.

Keywords: , Fairfield , VP Broker Dealer Regulatory Reporting, Accounting, Auditing , Whippany, Connecticut