Business Analyst/Product Owner
Location : New York, NY 10001 (Onsite)
Duration : 12 Months
As a Business Analyst specializing in eCommunications surveillance, you will play a pivotal role in supporting the migration and transformation of the enterprise eCommunications surveillance platform which ensures the integrity and regulatory compliance of our communication channels.
This position requires a keen eye for detail, a strong understanding of financial regulations, and proficiency in analyzing communication data to identify potential compliance issues.
Key Responsibilities :
- eCommunications Surveillance :
- Develop analysis and requirements to support delivery objectives for electronic communications (e.g., emails, chat messages) to detect potential compliance breaches, insider trading, and market manipulation.
- Develop and maintain surveillance systems to ensure comprehensive coverage of communication channels and adherence to regulatory requirements.
- Regulatory Compliance :
- Ensure that the surveillance framework is aligned with industry regulations, including SEC, FINRA, and other relevant bodies.
- Stay updated with changes in regulatory requirements and adjust surveillance practices accordingly.
- Data Analysis :
- Conduct in-depth analyses of communication data to identify patterns, trends, and anomalies that may indicate compliance risks.
- Develop and utilize analytical tools and methodologies to enhance the efficiency and accuracy of surveillance activities.
- Testing and Documentation :
- Prepare detailed reports on transitioned data to support accuracy of transition, highlighting potential issues and recommending corrective actions.
- Document surveillance procedures, methodologies, and findings to ensure transparency and accountability.
- Collaboration :
- Work closely with senior stakeholders, surveillance leads, technology teams, and other stakeholders to provide transparency on migration efforts.
- Provide reporting and updates on key work streams to support the migration initiatives.
- System Improvement :
- Identify opportunities for enhancing existing surveillance systems and processes.
- Participate in the development and implementation of new tools and technologies to improve surveillance effectiveness.
Qualifications :
Education : Bachelor’s degree in Finance, Business Administration, Information Technology, or a related field. Advanced degrees or certifications (e.
g., CFA, CFE) are a plus.
- Experience : Minimum of 3-5 years of experience in a business analyst role within the financial services industry, with a focus on eCommunications surveillance or compliance.
- Skills :
- Strong understanding of financial regulations and compliance requirements related to electronic communications.
- Proficiency in data analysis and reporting tools (e.g., Excel, SQL, BI tools).
- Excellent analytical and problem-solving skills.
- Ability to communicate complex issues clearly and effectively.
- Detail-oriented with a strong commitment to accuracy and integrity.
- Technical Skills :
Familiarity with surveillance software and communication monitoring systems
INDSTRG