Senior Business Analyst - Consolidated Audit Trail Initiative
Consultant ndash Senior Business Analyst Options Brief Project Description Regulatory compliance with SEC Rule 613 (CAT NMS) and its reporting requirements will require establishing governance PMO structure, documenting the firms rule interpretations, analysis related to Equity and Options business models and Reference Data sourcing, and creation of a CAT reporting architecture. Project Name Consolidated Audit Trail (CAT) TeamCulture The Business Analyst will be liaising with various teams within Operations, Technology and Compliance as well as external vendors and senior leadership. And participate in Industry calls and forums as needed. Daily Responsibilities Understand CAT Regulatory requirements from Regulatory Artefacts and Specifications with help of compliance and assess the impact on RBCs business and operations (requires querying and analysis of large volumes of data) Draft requirements for both Business and Technology to fill any gaps identified during impact analysis (Liaise with Operations, Technology, and Compliance to define and review requirements) Conduct interviews and knowledge acquisition sessions with business and operations users to document as–is and to–be process flows that support front office, middle office and back office functions (Liaise with FOMO to analyze and document trade flows) Support Operations users in conducting Industry Testing and UAT by documenting test scenarios and test cases and executing them Lead and participate in projects of various sizes and scopes Research, formulate, propose and implement strategic solutions Manage program deliverables, track and communicate progress to senior stakeholders Provide Capital Markets Operations subject matter expertise Partner with key stakeholders and deliver value added solutions Perform analysis of data, processes and systems Work efficiently with a view to high–quality work product and quick–to–market solutions. Support system testing and creation of user documentation Build strong, long–term relationships throughout the organization Constantly seek to improve own capacity, skills and expertise. emsp Programtechnologysoftware knowledge that is essential for this role Experience with Options Order Management Systems and Trade Life Cycle preferred Experience working with federated trading platforms and vendor systems e.g., Fidessa, FlexTrade, AOM, Pulse, Wolverine, Bloomberg etc. Understanding of Complex Options Trading including manual orders, paired orders, option allocations Prior experience with JIRA, Confluence, and user stories preferred for documenting meeting minutes and user requirements SDLC, Big Data, and Data Analysis Governance Strategy JIRA Quality Center Q–TestSharePoint Agile project management methodologies Vendor management MS Office (Project, Excel, Word, PowerPoint, Visio) Understanding of US Broker–Dealer Transaction Regulatory Reporting Ability to translate between Operational and Technical requirements Must Have Skills Understanding of Options andor Equities products Understanding of US Broker–Dealer Transaction Regulatory Reporting Experience working with federated trading platforms with the ability to understand how to bring data together Data Analysis Governance Strategy Equities Order management systems knowledge MS Office (Project, Excel, Word, PowerPoint, Visio) Ability to translate between Operational and Technical requirements Nice to Have Skills Agile project management methodologies Vendor management Experience with US Broker–Dealer clearance and settlement books and records system, i.e. Broadridge This is a multi–year initiative so a successful candidate will have the ability to stay within the program for 18–24+ months.