Business Systems Analyst - Regulatory Business


  • Develop an open, honest and amicable relationship with compliance and supervision personnel
  • Establish and maintain a consulting, yet practical rapport with user community
  • Sum Understand current business objectives and business processes followed by participation in defining business requirements and functional definition of systems to support the business
  • Sum Collaborate with the technical staff in Applications, Engineering, and Operations to build strong technical designs and reports
  • Sum Participate in all phases of application development or application integration projects including feasibility, evaluation, project estimation, requirement recommendations, functional specification, technical design, test planning and test execution, implementation planning, and turnover to production
  • Sum Manage and prioritize among many development and implementation tasks
  • Sum Manage work flow and deliver superior work quality in a timely manner
  • Sum Provide regular and frequent status and information to team leads and management
  • Sum Maintain and enhance existing business and system documentation
  • Sum Maintain, create and enhance documentation used in compliance and legal documentation
  • Sum Maintain and create system documentation for use in regulatory exams and audits
  • Sum Maintain, create and design report documentation for use by compliance and supervision
  • Sum Demonstrate initiative in identifying and resolving issues relating to business, compliance and technology as well as participate on teams and committees
  • Sum Ability to coach and mentor less senior BAs in the area of business process engineering, work flow analysis, system analysis, use case and test plan development
  • Sum Ability to grasp technical concepts and apply them to business requirements
  • Demonstrate initiative in the area of problem and issue identification and resolution

Education and Experience Required:

  • Sum Candidates must have in-depth understanding of electronic trading floors, listed exchanges and trading platforms, and a solid understanding of the US derivatives and equities markets
  • Sum Candidates must have in-depth understanding of the electronic trading systems business (algorithmic trading), program trading, and direct access trading
  • Sum Candidates must have an understanding of supervisory roles on a program trading and equities algorithmic trading desk and an understanding of the governing rules of the various domestic trading bodies: NYSE, NASDR, OCC and the SEC
  • Sum Candidates must have very strong verbal and writing skills, and will be asked to present examples of business requirements that they have created and lead meetings with user community and compliance personnel as well as development staff
  • Sum The BA will work with a wide variety of the business community, including Sr. Management, traders, sales people, compliance, middle office, back office support, legal, and visiting regulators and auditors
  • Sum Candidates will be expected to create detailed and clear business requirements for the electronic trading and program trading development team, as well as take lead roles on projects and initiatives throughout the project life cycle (must take initiative)
  • Sum Strong knowledge of the application development lifecycle. Experience working within a traditional, formal development methodology as well as within a formal QA environment


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