Business Analyst - Compliance Governance

MindlanceMelissa Giles Max Bill Rate ***/hr NYC - Hybrid End Date 5/28/26 Business Analyst This Business Analyst role focuses on supporting the operations, compliance, and governance of the Client-ONE Alternative Trading System (ATS). A few key responsibilities include producing and reconciling performance metrics; protecting confidential trading information (CTI) and supporting the Supervisors with Subscriber and Business Unit matters related to the Client-ONE ATS. *** Global Markets Inc. is a global investment bank and securities brokerage firm that, along with its *** affiliates, provides complete financial solutions to corporations, governments, institutions and individuals in 100 countries. Client-ONE is an alternative trading system (ATS) registered with the Securities Exchange Commission (SEC). *** CGMI”), is the Broker-Dealer Operator of the Client-ONE ATS. Objectives: • 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. • Collaborate with technology partners (internal and external) to draft, develop and implement documentation new and enhanced functionality within the ATS. Additional Job Description Qualifications: · 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]. · S. regulatory environment pertaining to alternative trading systems and the electronic equity trading business. · Preferable but not required Client registrations (e.g., General working knowledge of Technology (Application Development and Infrastructure) as well as the Financial Information eXchange (FIX) protocol, JIRA, etc. · Excellent written skills in English. · 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. · Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of - Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.”