Senior Business Analyst - Compliance Trade Reporting

Permanent contract|New York|Innovation / Project / Organization

Senior Business Analyst - Compliance Trade Reporting

New York, United States Permanent contract Innovation / Project / Organization



  • U.S. Regulatory Reporting Subject Matter Expert for FINRA Consolidated Audit Trail System (CAT), Large Option Position Reporting (LOPR), Electronic Blue Sheets, ACT/ ORF, TRACE, and SEC Rule 606 (Order Routing Reporting) and assist in part with Surveillance Reporting.

  • Coordinate all new U.S. regulatory reporting updates, establish requirements and communicate with Front Office, Compliance, and Technology groups.

  • Keep up to date with any new regulatory update and attend any conferences pertinent to U.S. Regulatory reporting.

  • Provide status reports to Senior Management regarding current state of regulatory reporting process, communicate upcoming changes and new regulations, and production issues/ resolution.

  • Work with ITEC Compliance Business Analysts to define regulatory reporting roadmap with Compliance, Supervision, and ITEC Management.

  • Review accuracy with compliance and coordinate updates (if needed)

  • Establish communication protocol with all Front Office, Compliance, and Technology group sponsors.

  • Coordinate with Front Office and Compliance to determine new initiatives within their respective groups that may affect current U.S. Regulatory Reporting

  • Relay all upcoming regulatory updates to existing reports and new regulatory reports (i.e. CAT)

  • Work closely with several teams across technology teams, vendors and operations to complete projects.

  • Work closely with developers to clarify requirements and ensure development is done according to established requirements.

  • Maintain priorities of tasks for the team and organize sprints.

  • As part of Incident Management policies, support and participate in the formal redaction of Post Mortem documents in case of incident.

Profile required

Profile Required:

EDUCATION: Bachelor or Master’s degree or U.S. equivalent in Computer Science, Computer Engineering, Electronic Engineering, Mathematics, Statistics, or related field.

EXPERIENCE: Must have 5 years of professional experience working for a global financial institution performing IT business analysis (including analyzing, developing, implementing, testing, and maintaining trade reporting systems). 

Must also have the following:

  • 3 years of professional experience interfacing with business users and clients to gather requirements, analyze, documents, validate, and develop technical or user process solutions.

  • 2 years of professional experience testing database integration issues using relational database management systems (including Oracle and structured query language (SQL)).

  • 1 year of professional experience for analyzing regulatory trade reporting for Equities, Options and Fixed Income in compliance with FINRA OATS, CAT, Blue Sheets, LOPR, TRF/ACT and TRACE.

  • Competency with Word, Excel, Powerpoint

Desired/ Plus:

  • Plus:  familiarity / experience with FIX, SQL, Azure/AWS, Agile, JIRA

  • Plus: year of professional experience manipulating data sets using Spark in a big data environment.

  • Plus:  knowledge of full order – trade lifecycle from orders, routing, execution, trade booking / allocations for clearance/settlement

  • Plus:  knowledge of order flows for institutional business, execution venues, algo

  • Plus:  knowledge of data quality and controls, and report reconciliations

Business insight

Department Summary:

GBSU worldwide responsibility for supplying GBIS various divisions with all the IT and Operations resources necessary for them to function under competitive conditions in terms of technological standards, service quality and cost.  GBSU technology team is composed of talented professionals who every day translates ideas into action by combining the strength of our expertise in IT with a deep understanding of investment banking. Our teams are ensuring that we deliver the service our businesses need to compete and serve Société Générale's clients. Our objective is to deliver great production services in a well-controlled, high quality and cost-effective way, and to deliver competitive application systems that allow GBIS to grow its business in existing and new markets, launch new products and take advantage of new opportunities when they arise. GBSU EQD team is responsible for facilitating entry to new markets, compliance with regulatory needs, growth in business volumes, and operational efficiency improvements in our overall front to back processing environment.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 21000YS2
Starting date: 2022/01/22
Publication date: 2021/11/24