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    Regulatory Business Analyst - New York, NY, United States - Michael Page

    Michael Page
    Michael Page New York, NY, United States

    1 week ago

    Michael Page background
    Description

    The Business Analyst is responsible for supporting a broker-dealer firm's efforts to document and strengthen the support model for Middle Office processing for US Govt trading.This role is a long term contract, hybrid in office 3x a week in NYC and W2 only.

    Client Details

    Client is a leading Financial Services Firm located in Manhattan, New York.

    Description

    1. Maintain in-depth knowledge of the regulatory requirements such as TRACE, FR2004 reporting.
    2. Assess the broker-dealer's current capabilities, systems(Broadridge Impact/Bloomberg) and processes to identify any gaps that need to be addressed to meet the necessary onboarding requirements.
    3. Develop a comprehensive onboarding plan and timeline for the broker-dealer to onboard new market participants, including the necessary steps and milestones.
    4. Collaborate with relevant regulatory bodies to understand the application process, reporting requirements, and ongoing obligations for the market participants.
    5. Facilitate the information gathering and documentation submission required by the regulatory bodies for the broker-dealer's onboarding process.
    6. Provide training and support to the broker-dealer's teams on the reporting requirements, communication protocols, and other program-related processes.
    7. Continuously monitor the broker-dealer's performance and compliance during the onboarding process, and work with the management team to address any issues or concerns.
    8. Identify areas for process improvement in the market participant onboarding and support, and work with stakeholders to implement system and procedural enhancements.
    9. Serve as the subject matter expert on market participant onboarding, providing guidance and training to other team members as needed.

    Profile

    • 5+ years of experience in a similar business analyst or market operations role, preferably within a broker-dealer or financial institution
    • Thorough understanding of financial markets, regulatory requirements, and onboarding processes
    • Demonstrated experience in onboarding and supporting new market participants
    • Strong analytical and problem-solving skills, with the ability to interpret complex data and identify meaningful insights
    • Proficiency in data analysis tools, such as Excel, SQL, and business intelligence software - Experience in process improvement and project management

    MUST HAVE:

    • In-depth knowledge of the regulatory requirements such as TRACE, FR2004 reporting.
    • Broker-dealer experience

    Job Offer

    Apply today using the link and your resume will be reviewed within 24 hours

    MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

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