Business Analyst – Registrations

Role Overview 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