Doran Jones is looking for a Business Analyst (Equities/Derivatives) who is responsible for position monitoring and preparation of non-financial regulatory disclosures under the relevant regulatory reporting laws across multiple regimes (substantial shareholdings, takeovers, short positions, beneficial ownership notices, and industry limits) for the Global Markets and Wealth Management business divisions. This BA will be responsible for analyzing and resolving highly complex operational problems and initiatives requiring exceptional handling and/or coordination of multiple operational and/or product specialists to resolve.
*No C2C
*Hybrid role - Possible Office Locations - New York, New Jersey, Chicago, or Charlotte.
Responsibilities
- Ensure delivery of complete, accurate, and timely regulatory reports to regulatory agencies.
- Executes control practices, including compliance with all regulatory/policy requirements and data quality standards
- Document key risks, performance indicators, and desktop procedures, including controls and metrics related to reporting. Execute QA/QC and report production tasks for regulatory reports.
- Respond to regulatory agencies and internal control partners on inquiries and reporting breaches
- Participate and represent the reporting function to control partners (e.g., Audit and Compliance)
- Identify, track, and remediate errors/breaches, data issues, and control enhancements that impact the respective reports
- Partner with upstream process owners and data providers to improve the data quality of regulatory reports
- Partner with Regulatory Interpretation and Technology teams to review and maintain data dictionaries to ensure the completeness of business requirements and all operational and reporting requirements.
- Assist with report centralization, which includes performing current state assessments, understanding the effectiveness of controls, determining process risks, and executing plans to incorporate the reporting process into the organization; ensure a smooth transition and cutover of reports in the target state, including appropriate handover and staff transfer.
- Partner with the technology team and business analysts to provide requirements and user acceptance testing (UAT).
Required Experience
- Knowledge of key shareholding disclosure rules within the region of coverage
- Strong knowledge of financial markets, the banking industry, equities, and derivative products.
- High level understanding of global markets and wealth management business divisions.
- Strong technical and data analytical skills (e.g., Excel and other similar applications), with experience analyzing, managing, and reporting on large sets of structured data (e.g., books and records data).
- Able to produce accurate work output and reports under tight deadlines
- Communicates effectively in both oral and written formats and tailors message appropriately to the audience
- Demonstrated intellectual curiosity and operational excellence experience
- Able to think critically to analyze and resolve issues quickly
- Influences and delivers results through collaborative relationships with key partners and stakeholders
- Works independently to prioritize work and deliver against regulatory deadlines and a dynamic environment
- Experience in Equity Aggregation Operations or Compliance
- Discrete when handling confidential information
Preferred Experience
- Experience interacting with regulatory agencies and /or reg exams.
- Regulatory reporting experience and/or experience in a global markets regulatory reporting environment or exposure to position/transaction processes/life cycle (other than Equity Aggregation)
- Experience in technology implementation projects, including involvement in building new or enhancing existing systems to meet complex reporting requirements
Doran Jones Inc. (DJI) is the leading financial services Data Engineering and Application Development firm, specializing in Capital Markets, Risk, and Regulatory Compliance. We are US-based, helping our clients fill gaps in capacity and expertise, reduce risk, and accelerate change. Our leaders average over 25 years of experience in Financial Services and Technology. DJI is repeatedly engaged by the largest and most complex clients for our Agile transformation expertise and practical understanding of the critical relationship between data, architecture, and application development.
DJI has a mission to place more people from non-traditional backgrounds into sustainable technology careers. Through partnerships with non-profit technology programs in underserved communities and Veteran organizations, candidates transition from tech training programs into real IT careers at DJI. Our unique recruitment policy allows us to create exceptional teams, bringing a broad spectrum of experience to our company and creating anything but a traditional consulting firm.
DJI is a wholly-owned subsidiary of McLaren Strategic Ventures, a private equity firm, that invests in start-ups and scale-ups. They provide a full range of highly trusted domain consulting, advisory services, and innovative technologies globally. Doran Jones is able to offer a broad range of technology, deeper AI and machine learning tools, data intelligence, alternative resourcing capabilities, and capital access to invest and digitize at scale. Our clients benefit from this unique portfolio allowing them to accelerate the pace of their own digital transformations through innovative products and services designed around industry-wide issues.
