Business Analyst (Compliance Technology)
Directs and monitors all activities for large, high risk, major Regulatory technology-based projects from initiation to delivery. Projects cross platforms, applications, and/or business lines for Compliance related issue. Works with business partners to develop technology concepts, requirements, design alternatives, project schedules, and costs for new Compliance Regulatory systems initiatives. Plans and directs complex Regulatory projects schedules and budget, monitoring project status in comparison to cost/time projections. Provides consistent and comprehensive status reports, project updates, and ongoing cost analyses, significant issue management and resolution, communication with business lines and technology management, often at senior management levels. May act as an internal consultant within technology and business groups to re-engineer technical processes for greater efficiency. Serve as a lead by providing direction to less experienced Regulatory or Compliance
project management staff while serving in a project leadership role.
Directing various Equity and Fixed Income Technology teams to supporting the coordination of Compliance-related initiatives. One of this resources mainly focus will be new street regulatory requirements, on-going projects and new business initiatives. This position requires interfacing with senior business and compliance teams along with in-house and vendor developers.
Key Responsibilities
• Provide data guidance to implement and maintain processes related to trade activities.
• Maintaining and improving the Technology team process for collecting project requests, and prioritizing, and executing project initiatives.
• Write test plans, co-ordinate tests, review test results and cases, and track testing issues.
• Act as a point person for all Technology compliance projects.
• Identify compliance issues that require follow-up or investigation.
Basic Qualifications
7+ years of technology project management experience
Minimum Qualifications
Detailed understanding of all FINRA, SEC and other regulatory trading rules and regulations
Detailed understanding of all upcoming industry regulations
Compliance Reporting and management system experience (OATS, Blue Sheet, etc)
Demonstrated expertise in Tech-Compliance Process development/improvement and mapping trade data across systems in a top tier broker dealer firm with multiple business units and trading platforms
Requirements gathering and Project Management/Coordination
Preferred Skills
Masters Business Administration, Bachelors or Masters Degree in Computer Science, Information Systems, or a related field
5+ years of IT experience in big banks and Broker Dealer Compliance environment
Equities and Fixed Income Technology trading, Front and Back Office Operations
Electronic Trading, ATS, Algorithms, Electronic Trading with products like Equity market making, ETF, Options, Portfolio, Program, Convertible Risk platforms
Ability to handle multiple tasks simultaneously and work under high - pressure environment
Self-starter and motivated person with take charge attitude towards project delivery.
Proficiency in standard Office applications (Word, Excel, Power Point, Project, Visio)
Some Experience with systems like VTC, Actimize, Broadridge
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