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- Tasks: Lead business analysis for U.S. regulatory reporting and trade surveillance initiatives.
- Company: Join a leading financial services firm focused on compliance and innovation.
- Benefits: Attractive salary, flexible working options, and opportunities for professional growth.
- Why this job: Make a real impact in regulatory compliance while working with cutting-edge technology.
- Qualifications: 7+ years in financial services with expertise in U.S. regulatory frameworks.
- Other info: Collaborative environment with strong focus on stakeholder engagement and strategic execution.
The predicted salary is between 60000 - 84000 £ per year.
We are seeking a seasoned Senior Business Analyst with expertise in U.S. regulatory reporting and trade surveillance to lead business analysis efforts for strategic and BAU initiatives. The role requires a strong understanding of the U.S. regulatory landscape (e.g., SEC, CFTC, FINRA) and surveillance functions related to market abuse alerts and scenarios. The ideal candidate will bridge business needs and technology execution to ensure regulatory compliance and operational efficiency.
The ideal candidate will manage the implementation and enhancement of internally built platforms for Regulatory Reporting to the CFTC, NFA, FINRA and SEC, as well as changes to Trade Surveillance platforms such as Scila and SMARTS.
Responsibilities- Act as the primary liaison between Compliance, Risk, Operations, and Technology teams for U.S. regulatory reporting and surveillance initiatives.
- Gather and document business / functional requirements for regulatory reports or surveillance use cases.
- Analyse regulatory rules and interpret their application to trading, operations, and reporting workflows.
- Translate complex regulatory requirements into detailed functional specifications and user stories.
- Support the development and implementation of surveillance models and alerts using structured rules or vendor platforms (e.g., SCILA, SMARTS).
- Lead or participate in gap analyses, control assessments, and regulatory change impact assessments.
- Perform data analysis and data quality validation on large datasets across trading, position, and reference data sources.
- Assist with testing and quality assurance as needed on required reporting and surveillance deliveries.
- Coordinate functional and user acceptance testing (UAT), defect triage, and production implementation activities.
- Assist in preparing documentation for regulatory submissions, internal audit, and regulatory exams.
- Monitor evolving regulatory requirements and contribute to impact assessments and roadmap planning.
- Liaise with internal teams, such as IT, operations, risk, compliance, and legal, to align project objectives and requirements.
- Facilitate effective communication between business stakeholders, technology teams, and regulatory bodies to achieve project goals.
- Communicate project status, risks, and issues to relevant stakeholders and escalate as appropriate.
- 7+ years of experience as a Business Analyst in financial services, with a strong focus on U.S. regulatory reporting and/or surveillance.
- Proven experience with one or more U.S. regulatory regimes (CFTC Part 45/43, TRACE, CAT).
- Experience working with trade surveillance tools and market abuse detection logic.
- Familiarity with trade lifecycle events on one or more asset classes (equities, fixed income, derivatives).
- Strong skills in data analysis (SQL, Excel) and working knowledge of reporting tools.
- Excellent communication skills to interface with stakeholders, including Compliance, Legal, Risk, and IT.
- Strong documentation and presentation skills.
- Knowledge of regulatory reporting platforms.
- Experience with Agile project delivery, including JIRA, Confluence, or similar tools.
- Prior experience working with vendor surveillance systems or building in-house solutions.
- Regulatory domain expertise.
- Strategic planning and execution.
- Stakeholder engagement and communication.
- Problem-solving and critical thinking.
- Technical knowledge of compliance/ regulatory reporting systems.
- Adaptability to regulatory change.
Regulatory Tech Business Analyst in London employer: BGC Group
Contact Detail:
BGC Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Tech Business Analyst in London
✨Tip Number 1
Network like a pro! Reach out to folks in the industry, attend relevant meetups or webinars, and connect with people on LinkedIn. You never know who might have the inside scoop on job openings or can refer you directly.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of U.S. regulatory frameworks and trade surveillance tools. We recommend creating a cheat sheet of key concepts and recent regulatory changes to impress your interviewers.
✨Tip Number 3
Showcase your analytical skills! Be ready to discuss specific examples of how you've tackled regulatory challenges in the past. Use the STAR method (Situation, Task, Action, Result) to structure your responses.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Regulatory Tech Business Analyst in London
Some tips for your application 🫡
Know the Regulatory Landscape: Make sure you brush up on your knowledge of U.S. regulatory bodies like the SEC, CFTC, and FINRA. We want to see that you understand how these regulations impact business operations and reporting.
Tailor Your Application: When applying, customise your CV and cover letter to highlight your experience with regulatory reporting and trade surveillance. We love seeing how your skills align with our needs!
Showcase Your Analytical Skills: Since data analysis is key for this role, don’t forget to mention your experience with SQL and Excel. We’re looking for candidates who can handle large datasets and derive insights from them.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy!
How to prepare for a job interview at BGC Group
✨Know Your Regulations
Make sure you brush up on the U.S. regulatory landscape, especially the SEC, CFTC, and FINRA. Being able to discuss specific regulations and how they impact business processes will show that you’re not just familiar with the terms but can apply them in real-world scenarios.
✨Showcase Your Analytical Skills
Prepare to discuss your experience with data analysis and how you've used tools like SQL and Excel in past roles. Bring examples of how you've translated complex regulatory requirements into actionable insights or functional specifications, as this is key for the role.
✨Communicate Effectively
Since you'll be liaising with various teams, practice articulating your thoughts clearly. Think about how you would explain a complex regulatory requirement to someone without a technical background. This will demonstrate your ability to bridge the gap between business needs and technology execution.
✨Be Ready for Scenario Questions
Expect questions that ask you to solve hypothetical problems related to regulatory reporting or trade surveillance. Prepare by thinking through potential scenarios you might face in the role and how you would approach them, showcasing your problem-solving skills and strategic thinking.