Compliance Technology Project Manager

Phyton Talent Advisors; New York (NY); On-site; USD 90,000 - 120,000; Full time

Job summary

Our client, a Global Financial Services Firm in New York, seeks a Compliance Technology Business Analyst to join their local team. You will partner with Registration, Compliance Advisory, Business Supervision, Employment Legal, and Control Room to gather, analyze, and document business and system requirements, translating them into actionable solutions and supporting demonstrations.

Key duties include BRD and user story creation, Agile backlog grooming in JIRA, UAT support, defect resolution,

Qualifications

• Proven experience gathering and documenting business and functional requirements.
• Experience creating BRDs, user stories, and process flows.
• Strong knowledge of Agile delivery and JIRA usage.

Responsibilities

• Gathers and analyzes requirements across compliance, HR, and tech teams.
• Translates requirements into functional solutions and supports demos.
• Creates BRDs, user stories, and acceptance criteria.
• Facilitates meetings, sessions, and action tracking.
• Supports testing, UAT, and defect resolution prior to production.
• Maintains Jira backlogs and project documentation.

Skills

Requirements gathering

BRD documentation

Agile backlog

JIRA

Stakeholder management

Communication skills

Multitasking

Documentation

Education

Bachelor's degree in Business/Finance/IS/CS

Tools

Confluence

Visio

BI/Reporting tools

Job description

Our Client, a Global Financial Services Firm, is seeking a Compliance Technology BA in their New York, NY location.

MUST be local to New York

Responsibilities

• Partner with Registration, Compliance Advisory, Business Supervision, Employment Legal, Control Room, and other stakeholders to gather, analyze, and document business and system requirements.
• Support pre-hire compliance and recruitment integration initiatives, ensuring requirements are clearly defined and aligned across business, compliance, and technology teams.
• Coordinate with HR Technology teams on system requirements, interfaces, integrations, and test data.
• Work closely with developers to translate business requirements into functional solutions, including reviewing mockups and supporting solution demonstrations.
• Facilitate stakeholder meetings, requirements sessions, and solution reviews; gather feedback and drive follow-up actions.
• Support enhancements and change requests for JRMS and FINRA Tracker, including screen changes, processing updates, and workflow improvements.
• Create, maintain, and update Business Requirements Documents (BRDs), functional documentation, process flows, user stories, and acceptance criteria.
• Coordinate and execute testing of system enhancements and changes prior to production release, including UAT support and defect resolution.
• Support FINRA-related system and process updates as business priorities require.
• Provide ongoing Agile development support, including maintaining JIRA, tracking requirements and deliverables, and supporting backlog and development activities.
• Assist with developer assignments and prioritization based on workload, capacity, project dependencies, and business priorities.
• Support project governance through status reporting, stakeholder meetings, issue tracking, dependency management, and follow-up activities.
• Provide Business Analyst support across additional systems and initiatives, including Rules Tracker and JFSI Traceability enhancements.
• Provide support for E-Communications Surveillance initiatives as needed.
• Assist with Trade Reporting initiatives, including the migration of Wealth Management legacy reporting to the Sigma BI platform.
• Serve as a liaison between business, compliance, operations, and technology teams throughout the full project lifecycle.

Requirements

• 5+ years of experience as a Business Analyst, Systems Analyst, or similar role within a complex enterprise environment.
• Strong experience gathering, analyzing, documenting, and managing business and functional requirements.
• Experience partnering with both business stakeholders and technology/development teams.
• Strong experience creating and maintaining BRDs, functional requirements, user stories, process flows, acceptance criteria, and related project documentation.
• Hands-on experience supporting system enhancements, change requests, testing, UAT, defect management, and production releases.Strong knowledge of Agile development methodologies and experience working within Agile delivery teams.
• Proficiency with JIRA, including maintaining requirements, stories, tasks, statuses, and project documentation.
• Strong stakeholder management skills with the ability to facilitate meetings and coordinate across multiple business and technology groups.
• Ability to independently manage multiple priorities, requirements, dependencies, and deliverables in a fast-paced environment.
• Strong analytical, problem-solving, organizational, and communication skills.
• Experience within financial services, banking, broker-dealer, compliance, regulatory, or wealth management environments strongly preferred.
• Knowledge of FINRA, employee registration, compliance, supervision, surveillance, or trade reporting processes is highly desirable.
• Experience supporting system integrations, data migrations, reporting platforms, or technology transformation initiatives preferred.
• Experience with SQL, BI/reporting platforms, Confluence, Visio, or similar tools is beneficial.
• Bachelor’s degree in Business, Finance, Information Systems, Computer Science, or a related field preferred.