Senior Consultant - Compliance Registrations

About the team:

Capital Markets is part of Capco’s DNA. In fact, the Capco name was inspired by this domain. The Capital Markets team delivers expert consulting skills and deep product and functional knowledge across all areas of the front office, operations, technology, risk, finance and compliance.  Our clients include the largest investment banks, global universal banks and capital markets divisions from regional banks across the country and around the globe. 

Our delivery expertise spans across launching new lines of business, coordinating high-impact regulatory response programs, leading complex integration projects and analyzing the dependencies in an application rationalization effort. We have a consistent track record in helping clients with significant cost reductions and ensuring our clients grow, change and compete.’

About the Job:

As a Senior Consultant on the Capital Markets Team, with a focus on compliance registrations, you will work in a fast-paced team setting, alongside industry experts. You will become an expert in cross-functional, end-to-end delivery that spans multiple products. In this role, you will provide business analysis support to gather and document requirements from business team members and ensure project team is adhering to project plans while mobilizing stakeholders to achieve project milestones, performing test checkouts and create necessary artefacts and documentation for review by regulators. This role is ideal for a seasoned business analyst with hands-on broker-dealer experience who has supported FINRA registration processes or worked on systems and projects related to regulatory licensing and registrations.

What You’ll Get to Do:

• Support FINRA registration processes for Capital Markets clients, including onboarding, transfers, amendments, renewals, and terminations within a broker-dealer environment
• Lead business analysis activities for regulatory and operational initiatives, including requirements gathering, process mapping, gap analysis, and solution design for new Registrations platform
• Review, translate, and prioritized business requirements with IT
• Perform project management tasks to help prioritize, unblock issues, and assist with communication
• Assist with user testing and signoffs, so that IT can push items to production
• Stand-up work items and team management structure for development and support of technology platforms supporting Front Office, Traders and Technology
• Support stakeholders by performing current and future state flow, Target Operating Model development
• Understand client's challenges and issues; document resolution options and go forward plans
• Work with business groups to structure different business requirements into a prioritized set of requirements with estimates
• Conduct detailed analyses to draw conclusions, and develop pertinent and insightful recommendations
• Present findings and recommendations to client leadership

What you’ll bring with You:

• 5+ years of experience as a Business Analyst within a broker-dealer or Capital Markets environment
• Prior experience supporting FINRA registrations or delivering projects involving registration systems or regulatory platforms
• Strong working knowledge of broker-dealer regulatory requirements, FINRA rules, and licensing exams.
• Understanding of upstream / downstream applications and data
• Ability to work on multiple workstreams from inception through to implementation
• Ability to apply experience with existing software or processes to define and collect metrics and develop better processes to be used in the future
• Required knowledge of regulations and securities transactions to help conduct requirement analysis, facilitate rule interpretations, document business requirements, document functional requirements and drive issue remediation
• Exposure to multiple project management methodologies including, but not limited to Agile and Waterfall
• Experience in successfully delivering business and technology projects with an understanding of product development lifecycle
• Development productivity tools (JIRA, TFS, or other)
• Microsoft office suite (Excel, PowerPoint, Project, Visio, etc.)
• Excellent communication skills with the ability to liaise and influence a range of internal and external stakeholders
• Bachelor's degree 

Why Capco?

A career at Capco is a chance to help reshape the competitive landscape in financial services.  We launch new banks, transform existing ones, and help our clients navigate complex change.  As consultants, we work on the front-end business design all the way through to technology implementation.

We are the largest Financial Services focused consultancy in the world, serving everyone from global banks to emerging FinTechs, from strategy through digital transformation, design, business consulting, data and analytics, cyber, cloud, technology architecture, and engineering.

Capco is a young and growing firm. We maintain an entrepreneurial spirit and growth mindset and have minimal bureaucracy. We have no internal silos that get in the way of your career opportunities or ability to focus on our clients and make a difference to the business.  We offer the opportunity for everyone to learn rapidly, take on tough challenges, and get promoted quickly. We take pride in our creative, collaborative, diverse, and inclusive culture, where everyone can #BYAW.

We offer highly competitive benefits, including medical, dental and vision insurance, a 401(k) plan, tuition reimbursement, and a work culture focused on innovation and creation of lasting value for our clients and employees. 

Ready to take the Next Step 

If this sounds like you, we would love to hear from you.  This is an opportunity to make a difference and contribute to a highly successful company with a significant growth trajectory.

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