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67246776 Trades and Transactions Operations FINRA AVP - Whippany, NJ

Job Information

ID :
# of Positions :
Minimum Education Level :
Bachelor's Degree
Experience Required :
7+ years
Duration :
Full Time Regular
Shift :
Hours per week:

Job Description


Trades and Transactions Operations AVP

Whippany, NJ

As a Barclays Trade and Transaction Operations AVP, you are responsible for ensuring the completeness, accuracy and timeliness of reporting to US regulators. The team provides oversight and goverance of 9 US regulations across Equities, Options anf Fixed Income Products is responsible for executing key controls, generating relevant MI, performing root cause analysis, escalating key issues to the business and management and coordinating relevant IT fixes.

Barclays is one of the world's largest and most respected financial institutions, with 329 years of success, quality and innovation behind us. 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.

What will you be doing?

\* Managing critical and complex Group regulatory reporting requirements. Meet internal and external demands and deadlines

\* Maintaining good knowledge and understanding of regulatory and market developments impacting on US FINRA regulations including CAT, ACT, LOPR, EBS, TRACE

\* Managing the day to day Trade and Transaction Reporting issues, providing management with updates

\* Generating and analysing reporting data and produce required management information.

\* Reviewing daily CAT exceptions and control reports

\* Designing, operating and implementing all needed controls for completeness timeliness and accuracy of reporting

\* Reviewing and enhancing processes, Operating Procedures, Checklists and Reports to ensure they are accurate and current

\* Various MI creation and distribution capturing Reporting, timeliness and accuracy

What we're looking for:

\* Bachelor's Degree or equivalent

\* Proficient in MS applications, particularly Outlook, Excel, PowerPoint and Word

\* Detailed oriented individual with Financial services experience particurally Investment Banking

\* Proven ability to build, maintain and enhance relationships at all levels including interacting effectively with other key areas within the bank

Skills that will help you in the role:

\* Two+ years experience working in Investment Bank, Compliance, Operations, or Risk and Control Function

\* One+ years experience in Regulatory Reporting or Regulatory for FINRA reporting

\* One+ years experience with Equities, Options or Fixed Income Products

\* Ability to influence others and work under pressure independently with excellent written and verbal communication skills

Where will you be working?

You will be working at Barclays Services, Whippany, New Jerseys' fully Operational Customer Contact center, where the best meet to build careers full of scope, variety, and reward. Supporting the banking and financial solutions of today's demands, answering tomorrow's questions, and redefining the future of customer support in finance.


We are an equal opportunity employer and opposed to discrimination on any grounds. It is the policy of Barclays to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.

Company Information

Name :
Description :
Finance is the oxygen of the economy. Acting transparently and with expertise, we deploy finance responsibly to support people and businesses, acting with empathy and integrity, championing innovation and sustainability, for the common good and the long term. We have the capability and capital, the operational resilience and the commitment, to make a real and lasting difference to the economic lives of customers and communities. This is as true today as it was when our bank was founded over 330 years ago.

Working at Barclays:
In support of this great purpose, everything we do is underpinned and driven by our strong values of Respect, Integrity, Service, Excellence and Stewardship. These are fundamental to who we are, wherever we are, and in whatever role we have at Barclays and they really matter to us.

Our values guide us, but we also believe opportunities are created by those who like to challenge convention, explore new possibilities and run with bold ideas. People who think differently, who bring all kinds of backgrounds, skills, experiences and perspectives with them.

Diversity and Inclusion:
At Barclays we are committed to building an inclusive and supportive culture to provide equality of opportunity for diverse talent at all levels to grow. We believe that every individual should have the opportunity to fulfil their potential and achieve their personal and professional goals. Valuing the perspectives of colleagues from diverse backgrounds enables us to better understand our customers, clients and the communities we serve and also strengthens our culture, encourages innovation and enables us to make better decisions.

All colleagues in Barclays have an Inclusion objective emphasising the role we all have to play in building a culture of belonging that recognises and values difference as a key driver of our purpose and our successful business performance.
Type :
Direct Employer
Address :
1301 East 9th Street
Cleveland, OH 44114

Application Information

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