Cantor Fitzgerald Securities
Regulatory Technology Business Analyst
Cantor Fitzgerald Securities, New York, New York, us, 10261
Job Description
We are seeking a seasoned
Senior Business Analyst
with expertise in
U.S. regulatory reporting and trade surveillance
to lead business analysis efforts for strategic and BAU initiatives. The role requires a strong understanding of the U.S. regulatory landscape (e.g., SEC, CFTC, FINRA) and surveillance functions related to market abuse alerts and scenarios. The ideal candidate will bridge business needs and technology execution to ensure regulatory compliance and operational efficiency
The ideal candidate will manage the implementation and enhancement of internally built platforms for Regulatory Reporting to the CFTC, NFA, FINRA and SEC, as well as changes to Trade Surveillance platforms such as Scila and SMARTS
Responsibilities
Key Responsibilities Act as the primary liaison between Compliance, Risk, Operations, and Technology teams for U.S. regulatory reporting and surveillance initiatives. Gather and document business / functional requirements for regulatory reports or surveillance use cases. Analyse regulatory rules and interpret their application to trading, operations, and reporting workflows. Translate complex regulatory requirements into detailed functional specifications and user stories. Support the development and implementation of surveillance models and alerts using structured rules or vendor platforms (e.g., SCILA, SMARTS). Lead or participate in gap analyses, control assessments, and regulatory change impact assessments. Perform data analysis and data quality validation on large datasets across trading, position, and reference data sources. Assist with testing and quality assurance as needed on required reporting and surveillance deliveries Coordinate functional and user acceptance testing (UAT), defect triage, and production implementation activities. Assist in prepare documentation for regulatory submissions, internal audit, and regulatory exams. Monitor evolving regulatory requirements and contribute to impact assessments and roadmap planning. Stakeholder Management
• Liaise with internal teams, such as IT, operations, risk, compliance, and legal, to align project objectives and requirements.
• Facilitate effective communication between business stakeholders, technology teams, and regulatory bodies to achieve project goals
• Communicate project status, risks, and issues to relevant stakeholders and escalate as appropriate
Qualifications Required:
7+ years of experience as a Business Analyst in financial services, with a strong focus on U.S. regulatory reporting and/or surveillance. Proven experience with one or more U.S. regulatory regimes (CFTC Part 45/43, TRACE, CAT). Experience working with trade surveillance tools and market abuse detection logic. Familiarity with trade lifecycle events on one or more asset classes (equities, fixed income, derivatives). Strong skills in data analysis (SQL, Excel) and working knowledge of reporting tools. Excellent communication skills to interface with stakeholders, including Compliance, Legal, Risk, and IT. Strong documentation and presentation skills. Preferred:
Knowledge of regulatory reporting platforms Experience with Agile project delivery, including JIRA, Confluence, or similar tools. Prior experience working with vendor surveillance systems or building in-house solutions. Key Competencies
Regulatory domain expertise Strategic planning and execution Stakeholder engagement and communication Problem-solving and critical thinking Technical knowledge of compliance/ regulatory reporting systems Adaptability to regulatory change
This position offers a competitive salary and benefits package commensurate with experience. The role requires collaboration with global teams
We are seeking a seasoned
Senior Business Analyst
with expertise in
U.S. regulatory reporting and trade surveillance
to lead business analysis efforts for strategic and BAU initiatives. The role requires a strong understanding of the U.S. regulatory landscape (e.g., SEC, CFTC, FINRA) and surveillance functions related to market abuse alerts and scenarios. The ideal candidate will bridge business needs and technology execution to ensure regulatory compliance and operational efficiency
The ideal candidate will manage the implementation and enhancement of internally built platforms for Regulatory Reporting to the CFTC, NFA, FINRA and SEC, as well as changes to Trade Surveillance platforms such as Scila and SMARTS
Responsibilities
Key Responsibilities Act as the primary liaison between Compliance, Risk, Operations, and Technology teams for U.S. regulatory reporting and surveillance initiatives. Gather and document business / functional requirements for regulatory reports or surveillance use cases. Analyse regulatory rules and interpret their application to trading, operations, and reporting workflows. Translate complex regulatory requirements into detailed functional specifications and user stories. Support the development and implementation of surveillance models and alerts using structured rules or vendor platforms (e.g., SCILA, SMARTS). Lead or participate in gap analyses, control assessments, and regulatory change impact assessments. Perform data analysis and data quality validation on large datasets across trading, position, and reference data sources. Assist with testing and quality assurance as needed on required reporting and surveillance deliveries Coordinate functional and user acceptance testing (UAT), defect triage, and production implementation activities. Assist in prepare documentation for regulatory submissions, internal audit, and regulatory exams. Monitor evolving regulatory requirements and contribute to impact assessments and roadmap planning. Stakeholder Management
• Liaise with internal teams, such as IT, operations, risk, compliance, and legal, to align project objectives and requirements.
• Facilitate effective communication between business stakeholders, technology teams, and regulatory bodies to achieve project goals
• Communicate project status, risks, and issues to relevant stakeholders and escalate as appropriate
Qualifications Required:
7+ years of experience as a Business Analyst in financial services, with a strong focus on U.S. regulatory reporting and/or surveillance. Proven experience with one or more U.S. regulatory regimes (CFTC Part 45/43, TRACE, CAT). Experience working with trade surveillance tools and market abuse detection logic. Familiarity with trade lifecycle events on one or more asset classes (equities, fixed income, derivatives). Strong skills in data analysis (SQL, Excel) and working knowledge of reporting tools. Excellent communication skills to interface with stakeholders, including Compliance, Legal, Risk, and IT. Strong documentation and presentation skills. Preferred:
Knowledge of regulatory reporting platforms Experience with Agile project delivery, including JIRA, Confluence, or similar tools. Prior experience working with vendor surveillance systems or building in-house solutions. Key Competencies
Regulatory domain expertise Strategic planning and execution Stakeholder engagement and communication Problem-solving and critical thinking Technical knowledge of compliance/ regulatory reporting systems Adaptability to regulatory change
This position offers a competitive salary and benefits package commensurate with experience. The role requires collaboration with global teams