Mindlance · 5 months ago
NAM-US-Business Analyst II-Analyst (USD)
New York, NY
Full-time
Onsite
Mid LevelMindlance is a global investment bank and securities brokerage firm, and they are seeking a Business Analyst II to support the operations, compliance, and governance of the Client-ONE Alternative Trading System (ATS). The role involves producing performance metrics, safeguarding confidential trading information, and assisting with governance documentation and compliance processes.
Human Resources
Responsibilities
Produce and reconcile Client-ONE ATS metrics
Focus on safeguarding, limiting and protecting confidential trading information (CTI) pertaining to the Client-ONE ATS (alternative trading system) to those that operate or provide compliance to the ATS [SEC Rule 301(b)(10)]
Align SEC Rule 304 of Regulation ATS to Client-ONE and understand the process of the Form ATS-N filing(s), including change process (amendments), to ensure proper and adequate disclosure
Assist in the production of high-quality governance documentation that meets applicable standards for its intended audience either with direct or indirect assistance from technology partners -- ATS monthly Governance Forum, Business Requirements, Functional | Design Requirements, Implementation and Test Plans, etc
Provide support to the Client-ONE ATS Supervisors (primary and delegate) as it pertains to Direct and Indirect Subscribers, CGMI Business Units and Affiliates
[Indirectly] Assist in providing certain support services related to CGMI's supervisory, compliance, surveillance, recordkeeping, and reporting obligations pertaining to Client-ONE
Collaborate in partnership with Operations Compliance and Network, LLC (Ocean) and teams (internally and externally) to ensure various end-to-end initiatives and processes for ATS Participants are completed and working as designed
Assist in gathering, drafting | editing, and adhering to developing Client-ONE standard operating procedures (“SOPs”) and written supervisory procedures (“WSP”)
Collaborate with technology partners (internal and external) to draft, develop and implement documentation new and enhanced functionality within the ATS
Qualification
Required
Bachelor's degree or the equivalent [candidate must have the necessary working Knowledge, Skills and Abilities (KSA) to be able to perform the functions of the advertised position proficiently]
Knowledge of the U.S. regulatory environment pertaining to alternative trading systems and the electronic equity trading business
General working knowledge of Technology (Application Development and Infrastructure) as well as the Financial Information eXchange (FIX) protocol, JIRA, etc
Robust communication (written, verbal and listening) skills. Excellent written skills in English
Problem solver, self-motivator
Time management skills – must illustrate good organizational skills and the ability to exercise control over the amount of time spent planning and focusing on initiatives and execution
Excellent MS Excel and Powerpoint skills
Team player and client (internal and external) friendly
Preferred
Preferable but not required Client registrations (e.g., Series 7, 55, 63)
Company
Mindlance
Mindlance is a Staffing and Recruiting company which provides multi-vertical staffing services
Founded in 1999
1001-5000 employees
H1B Sponsorship
Mindlance has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (71)
2024 (53)
2023 (37)
2022 (72)
2021 (36)
2020 (40)
Funding
Current Stage
Late StageLeadership Team
R
Rajat Paul Dhall
Co-Founder & Managing Director
V
Vik Kalra
Co-Founder and Managing Director
Recent News
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