Broker Dealer Regulatory Reporting VP
Barclays(1 month ago)
About this role
The Broker Dealer Regulatory Reporting VP at Barclays is responsible for overseeing US broker-dealer regulatory reporting to ensure compliance with applicable laws and regulator requirements. The role includes stewardship of Net Capital calculations (SEC Rule 15c3-1), submission of regulatory reports, and maintaining relationships with regulators and key internal stakeholders.
Required Skills
- SEC Reporting
- FINRA Reporting
- Net Capital
- Risk Assessment
- Internal Controls
- Data Analysis
- Stakeholder Management
- Regulatory Liaison
- Systems Integration
- Training Delivery
About Barclays
home.barclaysBarclays is a British universal bank. Our businesses include consumer banking, as well as a top-tier, global corporate and investment bank.
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