VP, IT Compliance Systems Business Analyst with Financial Experience

VP, IT Compliance Systems Business Analyst with Financial Experience

Must have Jira, Confluence, ServiceNow, and SQL

MUST be local to New York City, Hybrid Schedule at least 3 days onsite

Salary Range: $111k to $165k

No Sponsorship Available

In this role you will bridge business needs and IT solutions within the compliance field. This role involves analyzing requirements, designing technology solutions, and ensuring effective implementation and maintenance of compliance systems. The ideal candidate will collaborate with stakeholders to gather requirements, define project scope, and ensure regulatory alignment.

Responsibilities include developing and enhancing compliance systems such as case management, regulatory reporting, and surveillance tools. The ideal candidate will identify process improvement opportunities and implement technologies to streamline workflows and reduce manual work. Additionally, they will monitor and mitigate risks in compliance technology projects, ensuring data integrity and security.

The ideal candidate should have a strong background in IT compliance, business analysis, and project management, with a deep knowledge of regulatory requirements and industry standards. Excellent analytical, problem-solving, and communication skills are essential.

Key Responsibilities:

• Translate complex compliance and regulatory requirements into clear, actionable technical specifications. Lead the analysis and design of compliance technology solutions, including surveillance, case management, and regulatory reporting systems. Identify and implement process improvements to enhance compliance workflows and reduce manual interventions.
• Collaborate with cross-functional teams including Compliance, IT, Risk, and external vendors to define project scope and deliverables. Assist in the planning, execution, and delivery of compliance technology projects, ensuring they align with business objectives and regulatory standards. Manage project documentation, timelines, and deliverables using JIRA and Confluence. Support full project lifecycle from requirements gathering through UAT and post-implementation review.
• Support the development and enhancement of compliance systems, including case management, regulatory reporting, and surveillance tools.
• Ensure that all compliance technology solutions meet regulatory requirements and industry standards.
• Identify opportunities for process improvements and implement technologies to streamline compliance workflows and reduce manual intervention.
• Prepare and present regular reports on compliance technology initiatives, project status, and key outcomes to senior management.

Qualifications:

• Bachelor's degree in IT, Computer Science, Business Administration, or related field; advanced degree preferred.
• 10+ years in IT compliance, business analysis, or related roles in financial services.
• Proficiency in compliance tech solutions, regulatory reporting systems, and case management tools. Required: SQL, Oracle, Snowflake, Power BI, and reporting mockup design tools. Programming languages and database management a plus.
• In-depth understanding of AML, sanctions screening, restricted data, employee trading monitoring, electronic communication surveillance, and regulatory reporting standards.
• Strong analytical and problem-solving abilities to translate business needs into technical requirements and resolve complex compliance issues.
• Excellent interpersonal and communication skills for effective collaboration with stakeholders at all levels.
• Experience in supporting large-scale IT projects, with a solid understanding of project management methodologies (e.g., Agile).
• In-depth knowledge of regulatory requirements and industry standards related to compliance technology. Deep understanding of financial regulations and industry standards (SEC, FINRA, GDPR, etc.)

Key Outcomes:

• Improved compliance monitoring and surveillance capabilities.
• Streamlined compliance processes and reduced manual intervention.
• Successful support of compliance technology projects within budget and timeline.