Business Analyst - Registrations Consultant

Our client, a top-tier Management Consulting firm, is seeking an experienced Business Analyst to support Capital Markets and broker-dealer clients across FINRA registration and regulatory transformation initiatives. The role will support end-to-end registration processes—including onboarding, transfers, amendments, renewals, and terminations—while leading business analysis and delivery efforts for regulatory and operational technology platforms, including a new Registrations solution.

This is a highly visible, hands-on role requiring strong broker-dealer regulatory knowledge, proven experience supporting FINRA registrations, and the ability to translate complex regulatory and operational requirements into well-defined business and technology solutions. The ideal candidate will work closely with business, technology, and leadership stakeholders to drive initiatives from requirements definition through user testing and production deployment.

Responsibilities & Qualifications:

• 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