Regulatory Policy Vp

Regulatory Policy VP
New York, NY

As a Barclays Regulatory Policy Vice President, you will be acting as a subject matter expert for their assigned rules. The Vice President will be expected to engage in different processes, projects, and initiatives with different stakeholders across the business to provide guidance and interpretation of the broker-dealer financial accountability rules. The stakeholders would include Regulatory Reporting, Operations, Product Control, Treasury, Finance, and the Front Office. 

Salary/ Rate Minimum: $145,000
Salary/ Rate Maximum: $190,000

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 is one of the world's largest and most respected financial institutions, established in 1690, with a legacy of success, quality, and innovation. We've helped millions of individuals and businesses thrive, creating financial and digital solutions that the world now takes for granted. An important and growing presence in the USA, we offer careers providing endless opportunity.

At Barclays, we offer a hybrid working experience that blends the positives of working alongside colleagues at our onsite locations, together with working from home. We have a structured approach where colleagues work at an onsite location on fixed, 'anchor', days of the week, for a minimum of two days a week or more, as set by the business area (or nearest equivalent if working part-time hours). Please discuss the working pattern requirements for the role you are applying for with the hiring manager. Please note that as we continue to embed our hybrid working environment, we remain in a test and learn phase, which means that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business.

What will you be doing?

   Being a self-starter and being able to work both independently and with colleagues on assigned tasks
   Taking ownership of the tasks and leveraging industry to solve complex problems
   Assisting with a strategic initiative to enhance the controls and processes related to SEC Rule 15c3-3 in the first year and having expertise in the rule and how broker-dealers operate
   Providing exposure to a broad group of industry stakeholders who are both internal and external and the processes relating to 15c3-3 providing exposure to senior management
   Comprehending the following broker-dealer rules: SEC Rule 15c3-1 (Net Capital), SEC Rule 15c3-3 (Customer Reserve and Possession or Control), SEC Rule 17a-5, and SEC Rule 17a-13
   Building relationships and maintaining relationships at a range of levels across the businesses and functions (Risk, Legal, Technical Accounting, Regulatory, and Financial Reporting) 
   Determining and evaluating alternative interpretations, asking probing questions to understand Barclays business and processes (controls, systems, etc) 
   Assessing the relevance of existing internal and external precedents and ensuring a full grasp of issues before making their recommendations 

What we're looking for:

   University Degree (BS/BA) or equivalent
   Minimum of five years of experience with broker-dealer regulations including SEC Rule 15c3-1 and SEC Rule 15c3-3
   Solid grasp of how a broker-dealer functions including business models, record keeping, settlement mechanics, and trade processing 
   Ability to build relationships across the organization and lead others in completing a collaborative task and executing tasks, challenging assumptions, and escalating issues

Skills that will help you in the role:

   Expertise in FINRA Rule 2231, SEC Rule 17a-13, and SEC Rule 17a-5
   Ability to manage complex projects and tasks to completion and communicate statue to senior stakeholders
   CPA, CFA, FRM, MBA, or Legal qualification preferred
   Interpersonal, written, and oral communication skills, particularly in relation to conveying complex issues in a straightforward and concise manner

Where will you be working?

You will be working at our Americas Headquarters at 745 Seventh Avenue. This 32-story office tower is located in Times Square in the heart of Manhattan and features a cafeteria, fitness center and state-of-the-art LED signage on the facade of the building.

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