Regulatory Technology Business Analyst (FINRA/SEC)
Contract W2
Contract Corp To Corp
Contract Independent
18 Months
No Travel Required
Able to Sponsor
On-site
Depends on Experience
Techno Talent Inc.
Fitment
Dice Job Match Score™
🤯 Applying directly to the forehead...
Job Details
Skills
- FINRA / SEC Regulatory Surveillance
- Capital Markets or Trade Surveillance domain
- Generative AI Prompt Engineering and AI-assisted workflow automation
- SQL
- Prompt Engineering
- Capital Market
- Data Analysis
- Shell
- Python
- SEC
Summary
Business Analyst – Regulatory Surveillance / Capital Markets
Location: Rockville, MD or Tysons Corner, VA
Work Setting: Onsite
Job Description:
We are seeking an experienced Business Analyst with a strong background in Regulatory Surveillance, Capital Markets, Data Analysis, SQL, and UAT. The ideal candidate will bridge business and technology teams to analyze, validate, enhance, and support surveillance patterns used to detect regulatory violations across multiple asset classes.
Required Skills:
- 5+ years of Business Analysis experience in Financial Services, Regulatory Technology, Surveillance Systems, or Capital Markets
- Strong SQL skills for large-scale data analysis and investigation
- Experience with UAT, release validation, and test case development
- Ability to analyze complex business rules, data flows, and source code logic
- Experience creating BRDs, requirements documentation, and process flows
- Strong data analysis, troubleshooting, and reporting skills
- Experience with Excel and data comparison/reporting tools
- Knowledge of Agile methodologies and project tracking tools
- Hands-on experience with AI tools such as ChatGPT, GitHub Copilot, Claude, or Amazon Q
Preferred Skills:
- FINRA / SEC Regulatory Surveillance experience
- Capital Markets or Trade Surveillance domain knowledge
- Big Data platforms and distributed query engines
- Scripting experience (Python, Shell, etc.)
- Experience supporting production incidents and release management
- Source code analysis and documentation
- Generative AI Prompt Engineering and AI-assisted workflow automation
Key Responsibilities:
- Analyze and document surveillance patterns and business rules
- Perform requirements-to-code gap analysis
- Support UAT, release validation, and production issue investigations
- Write complex SQL queries and perform firm-level data analysis
- Create BRDs, test cases, release documentation, and reports
- Leverage AI tools to accelerate analysis, documentation, testing, and automation
Qualifications:
- Bachelor''''''''s degree in Business, Finance, Computer Science, or related field
- Strong communication, analytical, and documentation skills
- Financial Services experience highly preferred
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.
- Dice Id: 10515530
- Position Id: 8999793
- Posted 30+ days ago
Company Info
About Techno Talent Inc.
In this competitive industry, we continually improve our Human Capital Management (HCM) practices and programs to be innovative, well-targeted, and industry leading.
Our need for exceptionally skilled, enterprising, and ambitious technical people is constant, and we are passionate about not only attracting but also developing and retaining such high caliber employees. We invite you, a potential employee, to learn more about our HCM practices and programs.
Our entire culture exudes a passion for this mutual advancement.
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