Responsibilities 

• Exceptionally strong verbal and written communication skills
• Work closely with business units to determine requirements, perform gap analysis on existing systems, and prioritize issues
• Work closely with technology to convey and interpret requirements, analyze and evaluate data needed to meet the requirements,
• Strong data analysis skills
• Prepare test cases and test scripts for developed code and execute the test cases to document results
• Strong understanding of, or the ability to quickly gain such, of applicable laws, regulations, and guidance in the subject area as well as the desire to keep up with changes in a complex environment
• Provide professional services expertise and leadership to client projects and implementations
• Conduct client workshops, assessments, and strategic planning activities
• Willingness and ability to travel occasionally
• Ability to handle communications and build relationship with the client and business users
• Senior enough to be able to handle the implementation project related PM tasks too. Must be able to create Project Plans in MPP, manage and monitor project’s progress through JIRA.
• Experienced of working in SCRUM AGILE methodology and implementation projects

Responsibilities:

• Exceptionally strong verbal and written communication skills
• Work closely within the Compliance Technology team to interact with business units, determine requirements, perform gap analysis on existing systems, and prioritize issues
• Work closely with other technology teams to convey and interpret requirements, analyze and evaluate data needed to meet the requirements, and QA the resultant development
• Strong data analysis skills
• Experienced of defining requirements for building Trade Surveillance solutions from scratch
• Strong understanding of, or the ability to quickly gain such, of applicable laws, regulations, and guidance in the subject area as well as the desire to keep up with changes in a complex environment
• Provide professional services expertise and leadership to client projects and implementations
• Conduct client workshops, assessments, and strategic planning activities
• Willingness and ability to travel occasionally
• Ability to work with a global team in different locations and different time zones

Required Qualifications:

• 5 years’ experience as a business analyst in the financial industry in trade surveillance/market abuse at consulting firms, product vendors, or banks.
• Understanding of Trade Surveillance concepts in Market Abuse and Control Room domains
• Proficient in SQL from a query perspective on a large database platform (eg DB2, Oracle, Sybase, etc.)
• Strong background in Equity and derivative trading at a major broker dealer or exchange. Understanding in Order and Execution Flow.
• Familiarity with one or more of the leading Trade Surveillance solutions; experience with Actimize and SMARTS Compliance solutions a plus.
• Experienced in Data Governance aspects in Market Abuse space
• Excellent knowledge of investment banking business, systems, and data.
• Exceptional verbal and written communication skills
• Confidence communicating with and advising senior executives
• Proactive and self-starting
• Detail and quality oriented
• BS degree - advanced degree a plus

Preferred Qualifications:

• Knowledge and understanding of international regulatory agencies and their expectations
• Technical proficiency in at least 1 programming language
• Data gap and cleansing experience
• Workflow analysis and streamlining
• Analytics/statistics/computer science experience or degree
• Business analysis or project management background

 

- Work with client to gain understanding of their business and system processes, for Trade Surveillance or Control Room, in order to help deliver company controls and solutions that strengthen aspects of their business - Work with client to develop and strengthen risk and compliance functions, for Control Room, through governance structures, policies, procedures, controls, operational effectiveness, and internal controls - Work with client to improve the capabilities of their existing compliance programs, for Control Room, based on industry best practices - Perform system validations across the client’s existing risk and compliance systems to ensure that the system’s functions are working as designed. Specific areas include data quality, policies & procedures, soundness of design, implementation accuracy, and model performance - Development of business requirements, and functional specification documentation - Perform advanced data analysis using standard SQL technologies (Oracle, SQL Server, or equivalent) to better understand end-to-end data flows between source systems to compliance systems - Active participation throughout Software Development Lifecycle (SDLC) of the project, from requirements, analysis, testing, and implementation - Assist with development of Extract, Transform, and Load (ETL) and data mapping activities by leveraging knowledge of programming languages such as Python, Perl, SQL, or equivalent to review and/or document the transformation logic for implementation and deployment - Perform configuration of compliance surveillance systems to set up the rules, detection logic, thresholds, and scoring that will be used across sanctions screening, customer risk rating, and transaction monitoring systems - Conduct model tuning across the risk and compliance surveillance systems to increase effectiveness and efficiency of worthwhile alerts while minimizing operational overhead - Development of management and analytical dashboards summarizing model performance and allowing for drilldowns to the raw data that is used for business intelligence, data analysis, and reporting purposes - Aid in the development and presentation of proposals for the firm’s offering of compliance systems implementation, model validation and advisory services - Manage teams of analysts to ensure that the project’s goals and priorities as committed to the clients are met - Stay current on industry best practices and recent developments in requirements, methodologies and tools within the Compliance and AML space in order to continue to evolve the firm’s expertise and better support current and future needs Tools experience required:

• Actimize Trade Surveillance modules, Actimize Control room
• SMARTS Surveillance solutions
• Microsoft SQL Server
• JIRA, HP QC, Autosys, Sharepoint, Microsoft tools (Excel, word, visio, etc.)

 

Responsibilities:

• Exceptionally strong verbal and written communication skills
• Work closely within the Compliance Technology team to interact with business units, determine requirements, perform gap analysis on existing systems, and prioritize issues
• Work closely with other technology teams to convey and interpret requirements, analyze and evaluate data needed to meet the requirements, and QA the resultant development
• Strong data analysis skills
• Experienced of defining requirements for building Trade Surveillance and sales practice solutions from scratch
• Strong understanding of, or the ability to quickly gain such, of applicable laws, regulations, and guidance in the subject area as well as the desire to keep up with changes in a complex environment
• Provide professional services expertise and leadership to client projects and implementations
• Conduct client workshops, assessments, and strategic planning activities
• Willingness and ability to travel occasionally
• Ability to work with a global team in different locations and different time zones

Required Qualifications:

• 5 years’ experience as a business analyst in the financial industry in trade surveillance and sales practice/market abuse at consulting firms, product vendors, or banks.
• Understanding of Trade Surveillance, sales practice concepts in Market Abuse and Control Room domains
• Proficient in SQL from a query perspective on a large database platform (eg DB2, Oracle, Sybase, etc.)
• Strong background in Equity and derivative trading at a major broker dealer or exchange. Understanding in Order and Execution Flow.
• Familiarity with one or more of the leading Trade Surveillance solutions; sales practice solutions and experience with Actimize and SMARTS Compliance solutions a plus.
• Experienced in Data Governance aspects in Market Abuse space
• Excellent knowledge of investment banking business, systems, and data.
• Exceptional verbal and written communication skills
• Confidence communicating with and advising senior executives
• Proactive and self-starting
• Detail and quality oriented
• BS degree - advanced degree a plus

Preferred Qualifications:

• Knowledge and understanding of international regulatory agencies and their expectations
• Technical proficiency in at least 1 programming language
• Data gap and cleansing experience
• Workflow analysis and streamlining
• Analytics/statistics/computer science experience or degree
• Business analysis or project management background

Exzac, Inc. d/b/a Matrix-IFS seeks a Sr. Support Leader in Tampa, FL Responsibility and Contributions include: -Perform Data analysis , Create Data dictionary and Mapping sheet, identify data load strategies ,transformation logic to load client data using ETL tool Informatica to UDM/Internal Staging for 10+ Source systems for SAM, WLF, Market Abuse and SMARTS -Installing ,Configuration ,Customization, Upgrading of solutions/platforms RCM 5.8/5.13,UDM 3.6/3.10,SAM 2.X/8.2/8.5 ,WLF 3.4/3.5 ,Market abuse TC4 Models, SAR form and other eRCM features -Change request execution like SAM Rules Customization, Source inclusion and exclusion requests -Implementation of Internal and External list such as Dow Jones, World check, Blacklist and Sanction Countries List Screening for WLF and Build AIS List load ,Complex Scans for screening of Customer data against Watch list via Batch process ,Self Service and On demand Screening -Development and Customization of existing TC4 models for market abuse and Control room for Data integration and Display module -Worked on database objects like Stored Procedures, Indexes, Views, Materialized views, Synonyms, Functions, Triggers for Data extractions, Manipulations, Consistency at Informatica and Actimize layers -Enriching the User experience by building new feature sets , Customization of Alert and Case workflow management, Email notifications, DART Report, RFI, Display Module using AIS modeler and RCM designer -Setting up Daily and Monthly run plan using Autosys scheduling tool -Execute SIT and UAT Test cases ahead application release till acceptance ,production and handle user support inquires