At a Glance
- 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, health benefits, and opportunities for professional growth.
- Other info: Collaborative environment with strong focus on career development and stakeholder engagement.
- Why this job: Make a real impact in regulatory compliance while working with cutting-edge technology.
- Qualifications: 7+ years as a Business Analyst with expertise in U.S. regulatory frameworks.
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.
Stakeholder Management
- 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 elevate as appropriate.
Qualifications Required
- 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.
Preferred
- 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.
Regulatory Tech Business Analyst employer: BGC Group
BGC Group is an excellent employer, offering a vibrant work culture in the heart of Canary Wharf, London, where innovation and collaboration thrive. Employees benefit from comprehensive training and development opportunities, ensuring personal and professional growth while working alongside industry experts in electronic trading. With a focus on fostering strong client relationships and a commitment to employee well-being, BGC Group stands out as a rewarding place to build a meaningful career.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory Tech Business Analyst
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like BGC Group looking for candidates who are engaged and informed.
We think you need these skills to ace Regulatory Tech Business Analyst
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at BGC Group. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at BGC Group
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with BGC Group’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
