Compliance Business Analyst Job Description
Compliance business analyst
provides technical advisory on derivatives and derivative markets in the context of their application to Liability Aware fund management.
Compliance Business Analyst Duties & Responsibilities
To write an effective compliance business analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance business analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Lead a small team of Business Analysts as needed for selected projects
Establish working relationships and routinely interface with project sponsors, business stakeholders, technology, and other project management office teams
Collaboration across multi-departments to promote industry best practices and strategic organizational security efforts the development of our IT security policies
The successful candidate will be responsible for delivering the regulatory reports and applications for Legal and Compliance division of Tokyo
He/she will be responsible to work on the regulatory inquiries and ad-hoc reporting requests from TK Compliance
He/she will be responsible to work with the global Compliance Tech team to leverage the strategic surveillance systems and corresponding logics
He/she would be involved in the full project lifecycle of CRGT projects in Tokyo
He/she should work with other developers and offshore resources to ensure delivery of the projects and make sure minimum standards are being met
Working closely with the Compliance teams, the business groups and the Corporate Operations Group (COG) technology team
Designing new reports where required and undertaking user testing for a wide range of projects
Compliance Business Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Business Analyst
List any licenses or certifications required by the position: CAMS, CPA, CFE, COBE, CIPT, CIPM, IAPP, CIPP, CRCM, CUCE
Education for Compliance Business Analyst
Typically a job would require a certain level of education.
Employers hiring for the compliance business analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Business, Computer Science, Finance, Education, Accounting, Graduate, Engineering, Business/Administration, Information Systems, Economics
Skills for Compliance Business Analyst
Desired skills for compliance business analyst include:
Charles River Application - preferable
Derivatives and trade flows – Mandatory
1940 act – preferable
Derivative Products and other Local & International Investment products
Financial services Industry
Global markets
Mutual fund
Regulations – UCITS
SICAV product
Stock Markets
Desired experience for compliance business analyst includes:
1-2 years of Project Management experience required including adherence to Project Life Cycle requirements
The candidate should demonstrate ability to develop strong and influential relationships across all levels of an organization and contribute to project teams and multiple work streams, within a larger portfolio of programs, in a changing environment
Responsible for driving business and corporate initiatives from concept to delivery, ensuring execution of business requirements, training, procedures, workflow redesigns and implementation schedules
Proven ability to collaborate and build strong partnerships with all colleagues, senior management across business, technology and operations across regions and lines of business
Intermediate to advanced skills in Excel, Access, PowerPoint and use of Microsoft Project
7-10 years in a Control related function required
Compliance Business Analyst Examples
1
Compliance Business Analyst Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance business analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance business analyst
- Participating in execution of a strategy
- Monitor aged and other exception items / breaks in the reconciliations· Prepare applicable reporting to internal and external entities· Propose procedure revisions as weaknesses and inefficiencies are identified· Actively play a key role in project and process implementation, requirements gathering, gap analysis, roll out process/procedures, training, Problem solving, decision-making and analytical skills - 30% of Time· Analyze, identify and report trends in a timely manner
- Identify, assess, and document business and functional requirements, recommending business priorities, and advising business on options, risks, and costs
- Collaborate with each line of business and control functions to address various Employee Compliance programs and activities
- Develop use cases to explain/demonstrate business requirements/specifications to Tech and Business Stakeholders
- Identify and Manage project risks and milestones
- Formulate analysis and project execution approaches in coordination with other Project Managers, taking into account business priorities, integration points across projects, infrastructure, system interfaces, and data as it related to the various programs
- Act as main contact for several programs and initiatives within Employee Compliance
- Serve as liaison between Operations and internal external Information Technology providers
- Analyze metrics processes and systems, and document business, functional, and operational requirements to ensure a quality implementation
Qualifications for compliance business analyst
- The knowledge of equity business and Japan regulatory environment would be beneficial
- Capable to read Japanese business documents
- Programming language like Java, C++ or C#
- Development experience should include SQL, Sybase, DB2 or other RDBMS
- Analyze and document high level system requirements with Use Case Modeling techniques
- Anti-Money Laundering (AML) Experience or hands-on experience with and expert level knowledge in specific banking transaction and customer data sets, , Retail, Wires, Payments, DDA
2
Compliance Business Analyst Job Description
Job Description Example
Our company is looking to fill the role of compliance business analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance business analyst
- Lead development of process flows, use cases, detailed product requirements
- Define project goals, create corresponding project plans, meet schedules, resolve issues and develop transparency project performance goals
- Present updates, findings, and recommendations to internal counterparts as needed for project assignments
- Prepare status reports for management by summarizing program or project status, impact, progress on goals, and recommending courses of action, as appropriate
- Lead cross-functional team to ensure internal and external milestones, and key project activities are met to achieve reporting due dates
- Maintain, update and archive all transparency program documentation and documentation in support of public submissions
- Develop and/or enhance Standard Operating Procedures related to processes established to achieve reporting requirements
- Develop and/or identify new work processes, tools or resources that will have broad applicability throughout the organization
- Proactively identify opportunities where Global Compliance can add value to the Company
- Provides creative solutions to difficult problems by gathering information from a variety of sources and applying expert knowledge
Qualifications for compliance business analyst
- Specify and fully document custom Actimize models that would bear scrutiny by an internal audit or external regulators
- Analyze the Retail and Institutional data to ensure accuracy and consistency with GB&M data
- Proactive and willing to use own initiative to resolve issues
- Previous experience of projects in Investment Banking, especially Compliance
- The business knowledge associated with working within an investment banking environment
- UML (use cases)
3
Compliance Business Analyst Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of compliance business analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance business analyst
- Ensure a high level of service and quality and the compliance in the user account request process of the MFGPro application in Europe
- Lead the off-shore user administration team
- Perform troubleshooting, resolution, and root cause analysis
- Manage and implement changes in the account request process involving also members of other IT departments
- Ensure the compliance of the MFGPro application in Europe in all implemented compliance controls
- Test the implemented compliance controls requested periodical or ad hoc with providing the test results or evidences
- Ensuring that the Front Office Business requirements of Asia territories within the Wealth & Asset Management businesses are met under the GO program
- Documenting the acquired results of analysis and workflows obtaining business signoff
- Understanding the Surveillance System / Products / Domain and has strong analytical and communication skills, to liaise with business stake holders and convert the concept into Business Functional Requirements
- Participate in efforts to develop strategies to meet needs of the business
Qualifications for compliance business analyst
- Maintain MI inventory & manage MI repository
- Minimum of bachelor's degree in related business field or computer science or comparable experience required
- Minimum 5 years of progressive and relevant experience, ideally a combination of Compliance, MI and Business Analysis positions in the financial industry sector
- KYC, Financial Crime and Anti-Money Laundering projects
- Case and documentation review - analysing legal and other documents to identify key facts, anomalies, etc, for categorisation
- Previous financial services work experience within any of KYC, AML, Financial Crime, Sanctions, Control Room or Complaints Handling would advantageous but not essential
4
Compliance Business Analyst Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of compliance business analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance business analyst
- Provide queries and ad-hoc reports as needed for Inspections/Audits and business purposes
- Participate in the development of queries and ad-hoc reports as needed
- Provide general end-user support
- Applies company knowledge and general technical expertise to complete complex assignments within defined parameters
- Exercise good judgment when making decisions
- Participate in efforts for the evaluation of business use of the software and training materials to ensure alignment according to intended use
- Train personnel and internal customers on relevant business processes
- Notify Management of potential quality or regulatory issues that may affect regulatory compliance of our IT systems
- Participate in User Group Forums both locally and across sites
- Manage work activities based on established Service Level Agreements (SLA)
Qualifications for compliance business analyst
- Expertise in gathering, analyzing and documenting business rules for processing data
- Expertise in test planning, test case preparation and testing of applications and data mapping
- Highly developed proficiency in using Microsoft Office packages such as Word, Excel, PowerPoint and Visio
- Highly developed communication and stakeholder management skills, able to converse in appropriate levels of detail with Business Heads, COOs/CIOs, Frontline, Middle Office/Operations Risk, Legal & Compliance (L&C), Financial Crime Compliance (FCC)
- Experience and demonstrated business controls knowledge, incl
- Ability to manage own time to tight deadlines commit and prioritize work duties and tasks
5
Compliance Business Analyst Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of compliance business analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance business analyst
- Analyzing and querying data from warehouse sources
- Drives understanding of requirements across cross-functional teams
- Serve as liaison between the line of business partners and architecture/development teams to effectively interpret business clients’ needs and create business solutions
- Contributing to the design, development, and maintenance of ongoing metrics, reports, analyses, dashboards, to drive efficiency
- Perform the post-implementation review and closure process for business analysis
- Manage documentation and tracing of all projects within Compliance Systems
- Act as a liaison between technical development and business users
- Perform analysis to determine and verify business requirements/issues specifications
- Create and maintain ad hoc automated reports using Microsoft Excel
- Prepare Reports and Dashboards mockups for the development team
Qualifications for compliance business analyst
- Series 7 registration and 24 require
- Knowledge of FINRA, SEC, and State rules and regulations The ability to think holistically about processes that impact clients, and to continuously refine those processes, making it easier for clients to accomplish their daily business
- Working knowledge of AML/BSA and relevant business systems (e.g., OneSumX, Actimize, Hogan)
- Maintain a high degree of interest in professional development
- 4- 7 plus years of experience in finance/accounting/audit or compliance field, preferably in healthcare
- Solid understanding of business acumen and finance fundamentals