Securities Compliance Business Analyst

Software Guidance & Assistance, Inc., (SGA), is searching for a Securities Compliance Business Analyst for a contract assignment with one of our premier financial services clients in New York, NY.

Responsibilities :

• Focuses on supporting the operations, compliance, and governance of client's proprietary trading system. A few key responsibilities include producing and reconciling performance metrics; protecting confidential trading information and supporting the Supervisors with Subscriber and Business Unit matters related to the trading system.
• Produce and reconcile metrics.
• Focus on safeguarding, limiting and protecting confidential trading information pertaining to the trading system to those that operate or provide compliance to the SEC Regulations
• Align SEC Regulations to the trading system and understand the process of the form 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 -- monthly Governance Forum, Business Requirements, Functional Design Requirements, Implementation and Test Plans, etc.
• Provide support to the system supervisors (primary and delegate) as it pertains to Direct and Indirect Subscribers.
• Assist in providing certain support services related to supervisory, compliance, surveillance, recordkeeping, and reporting obligations pertaining to the trading system.
• Assist in gathering, drafting, editing, and adhering to developing 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 trading system

Required Skills:

• 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 Skills:

• Preferable but not required FINRA registrations (e.g., Series 7, 55, 63).

SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at .

SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company to request an accommodation or assistance regarding our policy #LI-SH1