Business Analyst/Regulatory Reporting/ CFTC

4 days ago

New York, United States Syntricate Technologies Full time
Business Analyst/Regulatory Reporting/ CFTC
New York City, NY (Hybrid 3 days in a week)
12+ Months
Web Cam Interview

$80-$90/Hr on W2 or 1099

We need:
  • We are looking for CFTC Reg Reporting specialist/SME consultant who focuses only on Regulatory .
  • We need A senior technical Business Analyst that has heavy financial/Capital Markets experience focused on Regulatory reporting/SME.
  • The Candidate must have experience in a regulatory / compliance role (on the Asset Management side).
  • There's financial and non-financial elements / there's project management elements / there's data analysis elements.
  • Knowledge of financial products, order lifecycle, back office operational processes and institutional knowledge on broker-dealers is required as well as Strong risk and control orientation, ability to apply risk framework and assessments.
  • Constructing business requirements for regulatory change and liaising and interacting daily with Technology teams to ensure smooth and safe delivery of obligations.


Candidate Must Have's on a resume and for submittal:
  • How many years working with: Business Analyst
  • How many years working with: Regulatory Reporting
  • How many years working with: Risk Control
  • How many years working with: Asset Management
  • How many years working with: Broker-Dealer

Job Description:
Managers notes:
  • Regulatory / compliance role (on the Asset Management side). There's financial and non-financial elements / there's project management elements / there's data analysis elements.
  • We are looking for CFTC Reg Reporting specialists consultant. Someone who can help evaluate rule changes, impact assessments ( new product / business ), write requirements and/or work with our vendor on configuration and data mapping.
Business Analyst/Regulatory Reporting
  • Integral Business Analyst role, responsibility for end-to-end of regulatory reporting obligations & risk assessments for global regulatory compliance across Citadel's Asset Management business, working alongside the Businesses, Compliance, Control & Technology teams.
  • Responsibilities include delivering and overseeing robust controls and reporting capabilities. This individual will drive and own the complete end-to-end assessment of the regulatory obligation and commensurate controls to ensure a robust and compliant reporting infrastructure. This individual will be responsible for understanding the regulatory climate, assessing for regulatory and industry change to ensure we can meet regulatory expectations completely.
  • Strong partnership with business partners to ensure strategies align to the regulatory expectations & risk tolerances. bility to demonstrate a proven track records of accomplishments & delivery in the regulatory space. ble to analyze new and changing regulatory obligations, understanding it's impact to Citadel's businesses and infrastructure. Applying strong data analytics and innovative technological solutions to drive sophisticated solutions.
  • This individual must be able to operate in a dynamic environment with shifting needs as the climate and business opportunities change. Must thrive in ambiguous operating environments, able to think creatively and possesses the confidence to have a strong view, taking ownership and initiatives under tight deadlines.
Responsibilities will include
  • Monitoring industry and regulatory change.
  • Assessing and recommending solutions to drive compliance rates.
  • Ability to understand data analysis, technical documentation, and technology information flows.
  • Strong risk and control orientation, ability to apply risk framework and assessments.
  • Constructing business requirements for regulatory change and liaising and interacting daily with Technology teams to ensure smooth and safe delivery of obligations.
  • Assist in implementation of risk assessment, reporting gaps and advancement of controls.
  • Assist in large scale vendor implementation or regulatory reform related programs, coordinating with multiple stakeholders, program managing the end-to-end process with limited oversight
  • Responsible for oversight and deployment of testing protocols to facilitate new businesses change.
  • Identify inefficient / manual processes & implement strategic fixes to improve efficiency.
  • Investigate and resolve exceptions and queries quickly and efficiently.
  • Ongoing awareness of the regulatory environment and the firm's adherence to its reporting obligations.
  • Analyze core business & data processes to validate regulation application to Citadel's infrastructure, ensuring complete understanding of regulatory interpretation to controls.
  • Design, deliver & operate oversight processes owned within the team to independently evaluate the completeness and accuracy of our regulatory reporting, including clear communication and escalation as required.
  • Document & own regulatory gaps and finding and manage business process requirements to cure any gaps or open risk.
  • Testing practices - Validation of regulatory output to process requirements through Scenario and UAT testing.
  • Construct and contribute to regulatory oversight /governance committee materials.
Skills / Attributes & Experience
  • Minimum of 8+ years of relevant business analysis work experience.
  • Proven track records for problem solving leveraging technology and business process improvement.
  • Knowledge of global regulations and understanding of regulatory reporting disciple. Ability to adopt and expand to apply solid practices and methods around regulatory change.
  • Knowledge of financial products, order lifecycle, back office operational processes and institutional knowledge on broker-dealers
  • Proactive and self-starting individual. Takes full ownership and accountability.
  • Confident & assertive individual, able to communicate effectively with colleagues across the firm - this is a high-profile function; Able to influence outcomes and articulate problem statements and suggested solutions.
  • Motivated to drive continual improvements across operational processes.
  • Strong technical skills, usage of tooling to drive productivity, e.g., business intelligence, Excel & SQL.
  • Embraces Technological solutions in a high volume, fast paced, complex business environment.
  • Inquisitive, wanting to question & understand; challenges the norm. Stays connected to the industry and regulatory changes.
  • Has a keen eye for detail and an emphasis on "getting it right" - Strong compliance orientation.
  • Dedicated & reliable with a high level of personal and professional integrity.
  • Strong analytical skills & problem-solving abilities.

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