Capco · 18 hours ago
Senior Consultant - Compliance Registrations
US - New York
Full-time
Onsite
Mid, Senior Level
$125K/yr - $143K/yr
5+ years expCapco is a leading consultancy focused on financial services, providing expert consulting across capital markets. As a Senior Consultant on the Capital Markets Team, you will support compliance registrations and lead business analysis activities to ensure project milestones are met while working closely with stakeholders and regulatory requirements.
ConsultingFinanceFinancial ServicesInsurance
Responsibilities
Support FINRA registration processes for Capital Markets clients, including onboarding, transfers, amendments, renewals, and terminations within a broker-dealer environment
Lead business analysis activities for regulatory and operational initiatives, including requirements gathering, process mapping, gap analysis, and solution design for new Registrations platform
Review, translate, and prioritized business requirements with IT
Perform project management tasks to help prioritize, unblock issues, and assist with communication
Assist with user testing and signoffs, so that IT can push items to production
Stand-up work items and team management structure for development and support of technology platforms supporting Front Office, Traders and Technology
Support stakeholders by performing current and future state flow, Target Operating Model development
Understand client's challenges and issues; document resolution options and go forward plans
Work with business groups to structure different business requirements into a prioritized set of requirements with estimates
Conduct detailed analyses to draw conclusions, and develop pertinent and insightful recommendations
Present findings and recommendations to client leadership
Qualification
Required
5+ years of experience as a Business Analyst within a broker-dealer or Capital Markets environment
Prior experience supporting FINRA registrations or delivering projects involving registration systems or regulatory platforms
Strong working knowledge of broker-dealer regulatory requirements, FINRA rules, and licensing exams
Understanding of upstream / downstream applications and data
Ability to work on multiple workstreams from inception through to implementation
Ability to apply experience with existing software or processes to define and collect metrics and develop better processes to be used in the future
Required knowledge of regulations and securities transactions to help conduct requirement analysis, facilitate rule interpretations, document business requirements, document functional requirements and drive issue remediation
Exposure to multiple project management methodologies including, but not limited to Agile and Waterfall
Experience in successfully delivering business and technology projects with an understanding of product development lifecycle
Development productivity tools (JIRA, TFS, or other)
Microsoft office suite (Excel, PowerPoint, Project, Visio, etc.)
Excellent communication skills with the ability to liaise and influence a range of internal and external stakeholders
Bachelor's degree
Benefits
Medical, dental and vision insurance
A 401(k) plan
Tuition reimbursement
Company
Capco
Capco is a technology and management consulting firm that provides consulting for the financial services and energy industries.
5001-10000 employees
Funding
Current Stage
Late StageTotal Funding
$80MKey Investors
Thomas Weisel Partners
2021-03-04Acquired
2000-05-24Private Equity· $80M
Leadership Team
Anne-Marie Rowland
Chief Executive Officer
Andrew McGinn
Partner - Digital, Data & Technology
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