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Financial Services Compliance Business Analyst

Shulman Fleming & Partners
New York, NY
  • Posted: over a month ago
  • Full-Time
Job Description

Financial Services Compliance Business Analyst

MUST be local to New York City. This is a Hybrid Position, onsite and remote.

Salary Range for this position is 100k to 120k.

This is a challenging position requiring a strong, proven experience in business analysis, design, delivery, some project management and people management domains. The role manages the elicitation of business requirements for multiple complex projects in parallel to successfully suggest and deliver solutions for Information Technology, specifically for Compliance IT.

Successful candidate must be experienced with identifying and analyzing technology and process problems, while developing business requirements and solutions for tactical and/or strategic projects, in collaboration with Business and Technology stakeholders across the organization.

The candidate must be a people manager, technically proficient, able to multi-task well, explain solutions clearly, is well organized, and has the ability to work independently with minimal oversight.

Previous exposure/knowledge of the e-Discovery, OFAC Monitoring and/or Trade Surveillance (spoofing, best execution, high volume, front running) control processes/systems at a bank strongly desired

Major Responsibilities:

  • Take complete accountability and guide all projects under ownership through the business analysis lifecycle to achieve successful implementation, on time with quality.
  • Prepare and contribute to any project deliverables – scope documents, requirements, project plans, test plans, communication plans, standard operating procedures, etc.
  • Keep project management informed at all times. Use any tools that are appropriate. These include project status reports, meeting minutes, and face to face meetings.
  • Perform business analysis to understand the requirements for all IT projects that help to improve efficiencies for new and existing applications related to the Compliance department.
  • Identify, document and manage risks. Recognize issues and proactively create solutions to mitigate adverse impacts.
  • Identify, document and remediate gaps in processes and ensure the alignment of IT department with internal guidelines and industry best practices.

Required Qualifications:

  • Bachelor's Degree in Computer Science, Management of Information Systems, or related business discipline(s).
  • 5-7 years' work experience with IT or process engineering
  • Process mapping/ process improvement experience
  • Simple SQL query knowledge
  • Experience as a business analyst working with e-Discovery and/or Trade Surveillance applications would be a plus
  • Ability to prioritize and effectively manage multiple tasks
  • Excellent interpersonal, written and verbal communication skills
  • High motivated, self-directed individual with the ability to work independently and in team environments
  • Effective presentation skills, combined with extreme attention to detail
  • Strong analytical, problem solving, and decision making skills
  • Collaborative team player and relationship builder

Shulman Fleming & Partners


New York, NY



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