Senior Consultant - Compliance Registrations

Location: New York City | Practice Area: Capital Markets | Type: Permanent

Shape regulatory excellence within complex capital markets environments

The Role
As a Senior Consultant within our Capital Markets team, you will play a key role in delivering compliance registration initiatives for leading financial institutions. Working alongside experienced professionals, you will support end-to-end delivery across regulatory, operational, and technology-driven projects. This role is ideal for an experienced Business Analyst with strong broker-dealer knowledge and hands-on exposure to FINRA registration processes.

What You’ll Do

• Support FINRA registration processes including onboarding, transfers, amendments, renewals, and terminations within broker-dealer environments
• Lead business analysis activities such as requirements gathering, process mapping, gap analysis, and solution design for registration platforms
• Collaborate with technology teams to translate and prioritize business requirements into actionable deliverables
• Facilitate user testing, validation, and sign-off processes to enable successful production releases
• Engage stakeholders to define target operating models and support delivery across multiple workstreams

What We’re Looking For

• 5+ years of experience as a Business Analyst within Capital Markets or broker-dealer environments
• Proven experience supporting FINRA registrations or regulatory platforms and licensing processes
• Strong knowledge of broker-dealer regulations, securities transactions, and FINRA rules
• Experience working across full project lifecycles using Agile and/or Waterfall methodologies
• Strong communication skills with the ability to engage and influence diverse stakeholders

Bonus Points For

• Experience working on registration or compliance technology platforms
• Familiarity with tools such as JIRA, TFS, or similar delivery tools
• Exposure to front office systems, trading environments, or regulatory reporting
• Experience supporting target operating model design or transformation initiatives
• Advanced proficiency in Microsoft Office tools (Excel, PowerPoint, Visio, Project)