Operations Analyst - FINRA - Tsr Consulting Services : Job Details

Job ID: 83090

Financial services client seeking an Operations Analyst with a regulatory and FINRA knowledge to focuses on supporting the operations, compliance, and governance of the Alternative Trading System (ATS). A few key responsibilities include producing and reconciling performance metrics; protecting confidential trading information and supporting the Supervisors with Subscriber and Business Unit matters related to the ATS.

• Location: Onsite - New York, NY 10013
• Contract Rate: $35-45/hour W2
• W2 only. No third parties or sponsorships available.

Objectives:

• Produce and reconcile ATS metrics.

• Focus on safeguarding, limiting and protecting confidential trading information (CTI) pertaining to the ATS (alternative trading system) to those that operate or provide compliance to the ATS [SEC Rule 301(b)(10)]

• Align SEC Rule 304 of Regulation ATS to and understand the process of the Form ATS-N filing(s), including change process (amendments), to ensure proper and adequate disclosure.

• Assist in the production of high-quality governance documentation that meets applicable standards for its intended audience either with direct or indirect assistance from technology partners -- ATS monthly Governance Forum, Business Requirements, Functional | Design Requirements, Implementation and Test Plans, etc.

• Provide support to the ATS Supervisors (primary and delegate) as it pertains to Direct and Indirect Subscribers, CGMI Business Units and Affiliates.

• [Indirectly] Assist in providing certain support services related to CGMI's supervisory, compliance, surveillance, recordkeeping, and reporting obligations pertaining to ATS.

• Collaborate in partnership with Operations Compliance and Network, LLC (Ocean) and teams (internally and externally) to ensure various end-to-end initiatives and processes for ATS Participants are completed and working as designed.

• Assist in gathering, drafting | editing, and adhering to developing standard operating procedures (SOPs) and written supervisory procedures (WSP).

• Collaborate with technology partners (internal and external) to draft, develop and implement documentation new and enhanced functionality within the ATS.

Qualifications:

• Bachelors degree or the equivalent [candidate must have the necessary working Knowledge, Skills and Abilities (KSA) to be able to perform the functions of the advertised position proficiently].

• Knowledge of the U.S. regulatory environment pertaining to alternative trading systems and the electronic equity trading business.

• Preferable but not required FINRA registrations (e.g., Series 7, 55, 63).

• General working knowledge of Technology (Application Development and Infrastructure) as well as the Financial Information eXchange (FIX) protocol, JIRA, etc.