Axelon
Global Financial Firm located in New York, NY has an immediate contract opportunity for an experienced Business Analyst
100% onsite.
****Video/ f2f interviews are required prior to all offers.
Pay rate range: $41.00 - $43.00 Negotiable based upon years of experience
Job Title: Business Analyst
Must have front end experience with knowledge of the U.S. regulatory environment pertaining to alternative trading systems and the electronic equity trading business.
Job Description:
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.
Banking Global Markets Inc. is a global investment bank and securities brokerage firm that, along with its Banking 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). Banking Global Markets, Inc. ("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.
• Assist in gathering, drafting | editing, and adhering to developing Client-ONE 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 ATS.
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].
• Knowledge of the U.S. regulatory environment pertaining to alternative trading systems and the electronic equity trading business.
• Preferable but not required Client registrations (e.g., Series 7, 55, 63).
• 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.
100% onsite.
****Video/ f2f interviews are required prior to all offers.
Pay rate range: $41.00 - $43.00 Negotiable based upon years of experience
Job Title: Business Analyst
Must have front end experience with knowledge of the U.S. regulatory environment pertaining to alternative trading systems and the electronic equity trading business.
Job Description:
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.
Banking Global Markets Inc. is a global investment bank and securities brokerage firm that, along with its Banking 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). Banking Global Markets, Inc. ("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.
• Assist in gathering, drafting | editing, and adhering to developing Client-ONE 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 ATS.
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].
• Knowledge of the U.S. regulatory environment pertaining to alternative trading systems and the electronic equity trading business.
• Preferable but not required Client registrations (e.g., Series 7, 55, 63).
• 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.