EI
Business Analyst – Registrations (5–9 years)
Expert In Recruitment Solutions
🇺🇸 United States
On-site
Mid level
8 months ago
- Agile
- Waterfall
- Jira
- TFS
- Excel
- PowerPoint
- Visio
8 months ago
Location: 3 days hybrid in NYC
Duration: 6+ months
Role Overview
Our client, a top-tier Management Consulting firm, is seeking an experienced Business Analyst to support Capital Markets and broker-dealer clients across Client registration and regulatory transformation initiatives.
The role will support end-to-end registration processes—including onboarding, transfers, amendments, renewals, and terminations—while leading business analysis and delivery efforts for regulatory and operational technology platforms, including a new Registrations solution.
This is a highly visible, hands-on role requiring strong broker-dealer regulatory knowledge, proven experience supporting Client registrations, and the ability to translate complex regulatory and operational requirements into well-defined business and technology solutions. The ideal candidate will work closely with business, technology, and leadership stakeholders to drive initiatives from requirements definition through user testing and production deployment.
Responsibilities & Qualifications
- Support Client registration processes for Capital Markets clients, including onboarding, transfers, amendments, renewals, and terminations within a broker-dealer environment
- Lead business analysis activities for regulatory and operational initiatives, including requirements gathering, process mapping, gap analysis, and solution design for new Registrations platform
- Review, translate, and prioritized business requirements with IT
- Perform project management tasks to help prioritize, unblock issues, and assist with communication
- Assist with user testing and signoffs, so that IT can push items to production
- Stand-up work items and team management structure for development and support of technology platforms supporting Front Office, Traders and Technology
- Support stakeholders by performing current and future state flow, Target Operating Model development
- Understand client's challenges and issues; document resolution options and go forward plans
- Work with business groups to structure different business requirements into a prioritized set of requirements with estimates
- Conduct detailed analyses to draw conclusions, and develop pertinent and insightful recommendations
- Present findings and recommendations to client leadership
What You'll Bring With You
- 5+ years of experience as a Business Analyst within a broker-dealer or Capital Markets environment
- Prior experience supporting Client registrations or delivering projects involving registration systems or regulatory platforms
- Strong working knowledge of broker-dealer regulatory requirements, Client rules, and licensing exams
- Understanding of upstream / downstream applications and data
- Ability to work on multiple workstreams from inception through to implementation
- Ability to apply experience with existing software or processes to define and collect metrics and develop better processes to be used in the future
- Required knowledge of regulations and securities transactions to help conduct requirement analysis, facilitate rule interpretations, document business requirements, document functional requirements and drive issue remediation
- Exposure to multiple project management methodologies including, but not limited to Agile and Waterfall
- Experience in successfully delivering business and technology projects with an understanding of product development lifecycle
- Development productivity tools (JIRA, TFS, or other)
- Microsoft Office suite (Excel, PowerPoint, Project, Visio, etc.)
- Excellent communication skills with the ability to liaise and influence a range of internal and external stakeholders
- Bachelor's degree
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Business Analyst – Registrations (5–9 years) · Expert In Recruitment Solutions