Senior Business Analyst - Consolidated Audit Trail

Michael Page
New York
13 Oct 2020
27 Oct 2020
Job role
Contract type
Full time

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Sr. Business Analyst, who will focus on supporting Non–Financial Regulatory Reporting the SEC Rule 613 Consolidated Audit Trail (CAT)

Client Details

Leading Financial Services Firm.


Working knowledge of FINRA OATS and Consolidated Audit Trail regulations is essential for this role.

  • Perform a cost–benefit analysis on whether we should leverage vendor system or develop in–house solution for reporting allocations.
  • Decompose regulatory requirement (Industry specification), work with business, operations, compliance, technology to determine its applicability, develop business requirement documents.
  • Develop test plans, test scripts, support end to end testing.
  • Identifying Data Quality issues which include from initial investigation to root cause to remediation and keeping track of the impact of issue, following up across business lines, stakeholder groups to push the resolution to closure.


  • Expereince with FINRA OATS and Consolidated Audit Trail regulations is essential for this role.
  • Experience utilizing one or more Equities trading platforms functionally or technically
  • Experience designing, implementing, and/or assessing trading processes, understanding of the systems implementation lifecycle pursuant to the business processes related to equities trading.
  • Serving as a business process specialist interfacing with technology & busines on control solutions and leading the planning and execution of the project phases;

Job Offer

Competitive compensation based on experience.

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