Compliance Tech BA

Our client is seeking a Compliance Tech Business Analyst to support cross-functional requirement gathering and testing across Registration, Compliance, and Business Supervision teams, with focus on system changes, governance coordination, and traceability across multiple compliance platforms and legacy system migrations.

Responsibilities & Qualifications

• Gather and analyze requirements across Registration, Compliance Advisory, Business Supervision, Employment Legal, and Control Room groups to define scope and technical specifications
• Conduct stakeholder meetings, coordinate feedback, and update Business Requirements Documents (BRDs) to reflect approved changes
• Collaborate with HR Tech and developers on system interfaces, mockups, demos, and test sample data to validate design and functionality
• Execute comprehensive testing of system changes prior to release and coordinate screen and processing change requests
• Support Rules Tracker and JFSI Traceability updates to maintain compliance and audit trail documentation
• Manage JIRA tickets, assist with developer workload prioritization and capacity planning, and support governance meetings and status reporting
• Provide subject matter expertise on E-Commerce Surveillance and assist with Trade Reporting Gaps initiative including legacy report migration to Sigma BI platform

Requirements

• 5–8 years of business analysis experience in a compliance, financial services, or regulated environment
• Proficiency with JRMS, FINRA Tracker, JIRA, and Rules Tracker platforms
• Strong requirements gathering, documentation, and testing expertise with demonstrated ability to translate business needs into technical specifications
• Working knowledge of Agile development methodologies and ability to collaborate effectively in iterative project environments
• Experience with JFSI Traceability and compliance change management processes
• Excellent communication and stakeholder management skills with ability to facilitate cross-functional discussions and resolve competing priorities
• Detail-oriented with strong organizational skills and ability to manage multiple concurrent workstreams in a fast-paced environment