Our client, a top-tier Management Consulting firm, is seeking an experienced Business Analyst to support Capital Markets and broker-dealer clients across FINRA 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 FINRA 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 FINRA 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 prioritize business requirements with IT
Perform project management tasks to help prioritize, unblock issues, and assist with communication
Assist with user testing and sign‑offs, 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 FINRA registrations or delivering projects involving registration systems or regulatory platforms
Strong working knowledge of broker‑dealer regulatory requirements, FINRA 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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This is a highly visible, hands‑on role requiring strong broker‑dealer regulatory knowledge, proven experience supporting FINRA 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 FINRA 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 prioritize business requirements with IT
Perform project management tasks to help prioritize, unblock issues, and assist with communication
Assist with user testing and sign‑offs, 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 FINRA registrations or delivering projects involving registration systems or regulatory platforms
Strong working knowledge of broker‑dealer regulatory requirements, FINRA 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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