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Senior Business Analyst Legal & Compliance IT

Senior Business Analyst Legal & Compliance IT

Job Description


This role will be responsible for the creation of Business and Technical specifications related to Legal & Compliance initiatives.  

  • Work with Legal, Compliance, and Financial Crime Prevention teams to gather business requirements relating to new applications, regulatory requirements, and enhancements to existing systems.
  • Coordination of priorities related to projects and enhancements request within IT.
  • Develop and Maintain relationships with key users in business units, in order to deliver high quality services in accordance with global standards.  Define and develop regional solutions when global standards do not exist or do not apply.   
  • Develop and maintain relationships with Clearing STP IT, Sales Technology, Infrastructure, IT Business Management, and PMO to remain current on interdependencies.
  • Assure business priorities are realized through IT Development.
  • Arrange and coordinate meetings with business and technical resources to insure requirements and deliverables are clear and achievable on both sides.
  • Produce necessary documentation in compliance with Project Management standards and policies.
  • Quality Assurance (QA) Management to include but not limited to: construction of Use cases and test cases, failure testing, performance testing, statistical control, ad hoc requests with providers and key interfaces
  • Technology Program Management to include: managing on-going multiple interdependent projects; technical project management to include organizing and managing resources; defining scope, quality, time and cost constraints gathering; providing analysis and defining requirements that meet business objectives;
  • Vendor Management to include: identifying goals and objectives; identify potential suppliers; contribute to selection and negotiation process; ensure quality of goods and services provided; establish relationships to ensure its quality, to gain visibility into supplier’s offering and insight into technology strategy.
  • Maintain documentation accurately depicting standing Operating Procedures, Application Interfaces, Data Flow and general technology of business aligned systems.


  • At least 10 years of Business/Technical Analysis
  • Strong foundation regarding regulatory

Job Requirements

  • The ability to function as a liaison between Legal, Compliance, Financial Crime Prevention and IT.
  • Knowledge of the Brokerage/FCM experience including Derivatives
  • Technology experience with the AS/400, SQL, and Oracle DB  
  • Process flow and business analysis capabilities
  • Effective documentation capabilities
  • Assimilate facts, evaluate perception and apply critical reasoning and make recommendations to arrive at optimal outcome
  • Anticipate/forecast critical points and make adjustments to deliver to commitments


    • 2 years of Project Management experience
    • Diverse knowledge of the financial services and technologies required to support a Broker Dealer/FCM environment.
    • Release Management; Software Development and Quality Assurance issues in critical financial and regulatory reporting systems subject to highly compressed timelines
    • Experience with GMI
    • Experience with anti-money laundering software like Actimize
    • Experience with regulatory reporting
    • Familiarity with regulatory requirements around a Bank, Broker Dealer/FCM or financial institution


    • Results and Team Oriented
    • Personal & Team Accountability
    • Communication and interpersonal relations
    • Consensus Building


    Bachelors Degree or equivalent experience in Accounting/Finance or Computer Sciences

    Job Snapshot

    Employment Type Full-Time
    Job Type Finance, Information Technology, Other
    Education 4 Year Degree
    Experience Not Specified
    Manages Others Not Specified
    Industry Accounting - Finance, Securities, Other Great Industries
    Required Travel Not Specified
    Job ID 4282
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    Senior Business Analyst Legal & Compliance IT

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