Regulatory Business Analyst

  • $90'000 - $102,00
  • Manhattan, NY, USA
  • Permanent, Full time
  • Mondrian Alpha Recruitment Solutions
  • 16 Jan 17

My client, working for a Global Investment Bank in New York requires a Business Analyst to play a leading role across a variety of Regulatory Operations initiatives. Working with the Regional Head of Regulatory Change this unique opportunity will provides exposure across a vast array of key regulatory issues.

Due to the CFTC, SEC and EMIR issuing continual rules pertaining to Listed and OTC derivatives, this banks are eager to make sure the impact on the way market participants handle transactions on a long term basis are minimised. Candidates will be expected conduct routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA.  They are looking for candidates able to work with the Front Office, able to discuss subjects surrounding the OATS Rejects and provide a comments on any errors.


You will be asked to participate in regulatory projects of various sizes and scopes. Examples include regulatory inquiries and audits, small and large scale rule change initiatives (e.g., CAT), root cause analysis of control framework exceptions, reporting enhancements (e.g., Blue Sheets reengineering), etc.  For this reason, it is integral applicants have experience with regulatory reporting requirements of a U.S. Broker / Dealer (TRACE, MSRB, OATS, Blue Sheets, Reg Sho, LOPR, Large Trader, ACT, INSITE, etc.)

  • Liaise with Operations management and staff to understand their roles and challenges.
  • Liaise with IT management and staff to interpret / clarify requirements.
  • Support system testing and creation of user documentation.
  • Build strong, long-term relationships throughout the RBC organization.
  • Constantly seek to improve own capacity, skills and expertise.
  • Preferred: Excellent data manipulation and end user computing tool development skills (i.e. including competence in some subset of: SQL queries, MS Office macros & scripting, MS Visual Studio, similar desktop tools)

The hiring managers are looking to build out an internal talent pool, versed in increasing the technical defences across the Global Markets and Banking arena. This is to include a combination of both permanent and contract resource, ranging from Business Analysts to Program Managers. 

To apply for this role, please follow the link attached or email directly, attaching your CV and contact details.