Compliance Analyst (SEC Rule 613)
|Reference # :||20-00052||Title :||Compliance Analyst (SEC Rule 613)|
|Location :||New York, NY|
|Position Type :||Contract|
|Experience Level :||Start Date / End Date :||01/20/2020 / 06/30/2020|
Contractor Engagement Summary for SEC Rule 613 Consolidated Audit Trail (CAT)
- Major Global Bank is seeking two business analysts/project managers who can work collaboratively to support its implementation of SEC Rule 613 Consolidated Audit Trail through June 30, 2020.
- Our CAT program is "in - flight” so we need experienced professionals with knowledge of the rule at a technical specification level.
Key Responsibilities / Deliverables:
- Support the ongoing development of a CAT reporting exception management operating model, including
- Governance structure and escalation
- Work flow tool definitions
- Roles and responsibilities definition
- Review and assess the Major Global Bank's CAT support tool(s).
- Complete traceability analysis of the BRD and FRD for Options reporting (Phase 2b)
- Design test scenarios and iterate exception management tool requirements to ensure, alignment with functional requirements, and fit for compliance with CAT reporting regulations
- Contribute and/or produce the requisite documentation necessary for "Go'Live” in April and May 2020.
- Review Phase 2c technical specifications, when available
- Ensure the tools and operating model are positioned to incorporate Client's linkage error types for going live in June through October 2020
- Excellent oral and written communication skills and ability to facilitate discussions
- Ability to facilitate project planning sessions with varied stakeholders, sometimes having competing interests
- Ability to quickly grasp and master new concepts / requirements and related product / functional knowledge
- Ability to create and deliver presentations to senior levels of management
- Ability to work under pressure and manage to tight deadlines or unexpected changes in expectations or requirements
- Willingness to ask questions, challenge the status quo and seek out answers
- Ability to work independently, multi - task, and take ownership of various parts of a project or initiative
- Excellent analytical and problem solving skills
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