Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead business analysis for U.S. regulatory reporting and trade surveillance initiatives.
- Company: Dynamic financial services firm focused on regulatory compliance.
- Benefits: Competitive salary, comprehensive benefits, and opportunities for global collaboration.
- 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: Join a team that values strategic planning and stakeholder engagement.
The predicted salary is between 70000 - 90000 £ 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.
Key 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.
This position offers a competitive salary and benefits package commensurate with experience. The role requires collaboration with global teams.
Regulatory Technology Business Analyst in London employer: Cantor Fitzgerald Securities
Contact Detail:
Cantor Fitzgerald Securities Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Technology Business Analyst in London
✨Network Like a Pro
Get out there and connect with folks in the industry! Attend meetups, webinars, or even just grab a coffee with someone who works in regulatory tech. Building relationships can open doors that job applications alone can't.
✨Show Off Your Skills
When you get the chance to chat with potential employers, make sure to highlight your experience with U.S. regulatory reporting and trade surveillance. Share specific examples of how you've tackled challenges in the past – it’ll make you stand out!
✨Tailor Your Approach
Every company is different, so do your homework! Understand their specific needs and challenges in regulatory compliance. When you apply through our website, tailor your application to show how you can help them achieve their goals.
✨Follow Up
After an interview or networking event, don’t be shy – drop a quick follow-up email! Thank them for their time and reiterate your interest in the role. It shows you're proactive and genuinely interested in joining their team.
We think you need these skills to ace Regulatory Technology 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 the ins and outs of regulatory reporting and trade surveillance, so don’t shy away from showcasing your expertise in your application.
Tailor Your Application: When applying, tailor your CV and cover letter to highlight your experience with regulatory reporting and surveillance tools. We love seeing how your skills align with our needs, so make it clear how you can bridge business and technology for compliance.
Showcase Your Data Skills: Since data analysis is key for this role, be sure to mention your proficiency in SQL and Excel. We’re looking for someone who can handle large datasets, so include any relevant projects or experiences that demonstrate your analytical prowess.
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it gives you a chance to explore more about what we do at StudySmarter.
How to prepare for a job interview at Cantor Fitzgerald Securities
✨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 trading and reporting will show that you’re not just familiar with the rules but can also apply them in a practical context.
✨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
Practice articulating your thoughts clearly and concisely. You’ll need to liaise with various teams, so demonstrating strong communication skills during the interview will be crucial. Think about how you can convey complex information simply and effectively.
✨Be Ready for Scenario Questions
Expect to face scenario-based questions that test your problem-solving abilities. Prepare by thinking through past experiences where you had to manage compliance issues or implement regulatory changes, and be ready to explain your thought process and outcomes.