Senior Consultant - Compliance Registrations

Added
29 days ago
Type
Full time
Salary
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jira agile finra broker-dealer waterfall

๐Ÿ“‹ Description

  • Support FINRA registrations: onboarding, transfers, amendments, renewals, terminations.
  • Lead business analysis for regulatory initiatives: requirements, process mapping, gap analysis, design.
  • Review, translate, and prioritize business requirements with IT.
  • Perform project management to prioritize, unblock issues, and communicate.
  • Present findings and recommendations to client leadership.

๐ŸŽฏ Requirements

  • 5+ years as a BA in broker-dealer or Capital Markets.
  • FINRA registrations or regulatory platform project experience.
  • Strong knowledge of broker-dealer regs, FINRA rules, and licensing exams.
  • Understanding of upstream and downstream applications and data.
  • Agile and Waterfall project methodologies exposure.
  • Delivered business and technology projects with product lifecycle understanding.
  • JIRA, TFS, or similar productivity tools.
  • Excellent communication with internal/external stakeholders; Bachelor\'s degree.

๐ŸŽ Benefits

  • Medical, dental and vision insurance.
  • 401(k) plan with company matching.
  • Tuition reimbursement.
  • Collaborative culture with growth opportunities.
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