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Business Analyst - Compliance Technology

  • Location: Jersey City, NJ
  • Job Type: Direct Placement
  • Ref No: 21-02790
  • Date: May 14, 2021
  • Job title:

Job Description - Business Analyst - Compliance Technology

Business Analyst – Compliance Technology



Our client, a global leader in institutional securities brokerage, is seeking a Business Analyst who specializes in compliance technology to work between their IT, Business, and operations teams. This person will play a critical role in facilitating the implementation, configuration, enhancements, and ongoing maintenance of mission critical compliance technology.

Responsibilities of Business Analyst- Compliance Technology:

Global regulators have an increasing expectation that firms have adequate systems and controls to conduct surveillance against, among others, market abuse offences such as Insider Dealing, Market Manipulation and Dissemination. Business Communication Surveillance is at the forefront of internal and external regulatory enquiries. This role is a significant step to expand and improve our Business Communication surveillance governance.

We are looking for a business analyst to support day to day implementation and governance over both upstream comm’s platforms e.g. Teams, Bloomberg, Cloud 9 and downstream comm’s platforms e.g. Global Relay, WordWatch as well as supporting Record & Retention Governance & Oversight.

The successful candidate will also support governance and implementation oversight on day-to-day basis for Record Keeping & Retention policies associated with all trade & communication technology.

Job duties and requirements include

  • Governance, controls, and ongoing monitoring of comm’s record keeping and surveillance technology including implementation of new technologies (Day 1 requirements) and BAU monitoring of all communication technologies (Day 2 requirements). Technology coverage includes upstream comm’s platforms e.g. Teams, Bloomberg, WhatsApp, and comm’s record keeping and surveillance platforms e.g. Global Relay, WordWatch.
  • Liaison between IT & Compliance on a day-to-day basis, supporting all daily queries and managing vendor support for both upstream platforms e.g. Teams, Slack, Bloomberg, etc. and comm’s record keeping and surveillance platforms e.g. Global Relay, WordWatch
  • Support governance and implementation oversight on day-to-day basis for Record Keeping & Retention policies associated with all trade & communication technology
  • Perform routine testing on all recorded communication platforms to ensure platforms are recording as intended




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