Business Analyst - Registrations

Our client, a top-tier Management Consulting firm, is seeking an experienced Business Analyst to support Capital Markets and broker-dealer clients across Client registration and regulatory transformation initiatives. The role will support end-to-end registration processes-including onboarding, transfers, amendments, renewals, and terminations-while leading business analysis and delivery efforts for regulatory and operational technology platforms, including a new Registrations solution.


This is a highly visible, hands-on role requiring strong broker-dealer regulatory knowledge, proven experience supporting Client registrations, and the ability to translate complex regulatory and operational requirements into well-defined business and technology solutions. The ideal candidate will work closely with business, technology, and leadership stakeholders to drive initiatives from requirements definition through user testing and production deployment.



Responsibilities & Qualifications:

• Support Client 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

What you'll bring with You:

• 5+ years of experience as a Business Analyst within a broker-dealer or Capital Markets environment
• Prior experience supporting Client registrations or delivering projects involving registration systems or regulatory platforms
• Strong working knowledge of broker-dealer regulatory requirements, Client 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