Senior Consultant - Compliance Registrations

Location: New York City | Practice Area: Capital Markets | Type: Permanent

• →Support FINRA registration processes including onboarding, transfers, amendments, renewals, and terminations within broker-dealer environments
• →Lead business analysis activities such as requirements gathering, process mapping, gap analysis, and solution design for registration platforms
• →Collaborate with technology teams to translate and prioritize business requirements into actionable deliverables
• →Facilitate user testing, validation, and sign-off processes to enable successful production releases
• →Engage stakeholders to define target operating models and support delivery across multiple workstreams

• 5+ years of experience as a Business Analyst within Capital Markets or broker-dealer environments
• Proven experience supporting FINRA registrations or regulatory platforms and licensing processes
• Strong knowledge of broker-dealer regulations, securities transactions, and FINRA rules
• Experience working across full project lifecycles using Agile and/or Waterfall methodologies
• Strong communication skills with the ability to engage and influence diverse stakeholders

• Experience working on registration or compliance technology platforms
• Familiarity with tools such as JIRA, TFS, or similar delivery tools
• Exposure to front office systems, trading environments, or regulatory reporting
• Experience supporting target operating model design or transformation initiatives
• Advanced proficiency in Microsoft Office tools (Excel, PowerPoint, Visio, Project)