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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 operational efficiency.
- Benefits: Competitive salary, comprehensive benefits, and opportunities for global collaboration.
- Why this job: Make a real impact in regulatory compliance while working with diverse teams.
- Qualifications: 7+ years as a Business Analyst with expertise in U.S. regulatory frameworks.
- Other info: Dynamic role with opportunities for 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.
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 escalate 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.
Key Competencies
- 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 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
✨Tip Number 1
Network like a pro! Reach out to folks in your industry on LinkedIn or at events. A friendly chat can lead to opportunities that aren’t even advertised yet.
✨Tip Number 2
Prepare for interviews by researching the company and its regulatory landscape. Show them you know your stuff about SEC, CFTC, and FINRA – it’ll impress them!
✨Tip Number 3
Practice your STAR technique for answering behavioural questions. It’s all about sharing specific situations, tasks, actions, and results to showcase your skills effectively.
✨Tip Number 4
Don’t forget to apply through our website! We love seeing candidates who are proactive and engaged. Plus, it makes it easier for us to find your application.
We think you need these skills to ace Regulatory Technology Business Analyst
Some tips for your application 🫡
Know the Regulatory Landscape: Before you start your application, 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 make sure to highlight any relevant experience in your application.
Tailor Your Application: Don’t just send a generic CV and cover letter! We’re looking for candidates who can bridge business needs with tech execution. Make sure to tailor your application to showcase how your skills and experiences align with the specific responsibilities and qualifications mentioned in the job description.
Showcase Your Analytical Skills: As a Business Analyst, your ability to analyse data and interpret complex regulatory requirements is key. Use your application to demonstrate your analytical prowess—mention any tools you’ve used, like SQL or Excel, and provide examples of how you've tackled similar challenges in the past.
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 shows us you’re genuinely interested in joining our team 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 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 validated data quality or performed gap analyses, as this will demonstrate your ability to handle large datasets and ensure compliance.
✨Communicate Effectively
Since this role involves liaising between various teams, practice articulating complex ideas clearly. Think about how you would explain a regulatory requirement to someone without a technical background. Good communication skills are key, so be ready to showcase this during your interview.
✨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 and how you would approach them, including any relevant tools or methodologies you would use.