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Business Analyst (Level II)

Charlotte, NC | Accounting and Finance
Job ID: 90453
Listed on 5/15/2019

KellyMitchell matches the best IT and business talent with premier organizations nationwide. Our clients, ranging from Fortune 500 corporations to rapidly growing high-tech companies, are exceptionally served by our 1500+ IT and business consultants. Our industry is growing rapidly, and now is a great time to launch your career with the KellyMitchell team.


Job Title: Business Analyst (Level II)


Job Description & Responsibilities

  • This position will support the Regulatory Reporting & Controls Team.
  • The associate in this role will be responsible for operations broker dealer and bank regulatory reporting requirements.
  • The associate will liaise with Finance and Operations associates to research exceptions and analyze operational data for compliance with applicable industry rules.
  • The associate in this role may have oversight for the offshore functions aligned with the Regulatory Reporting team.
  • This role will be cross trained on and provide back up support on reporting functions performed by the team, including FINRA Rule 4560 Short Interest reporting, FINRA INSITE reporting, and TIC Reporting.
  • Associate will spend up to 20% of their time working on regulatory initiatives.
  • Associate will be expected to perform ongoing evaluations, quality assurance, process testing and control improvements to regulatory reporting processes.
  • Cross Train and Backup assigned functions within the process
  • Escalate issues to management/risk as necessary
  • Participate in tactical and strategic initiatives related to assigned Regulatory Reporting


Skills, Experiences, Knowledge

  • Candidate should have 3-5 years brokerage operations experience, preferably in a regulatory or control department
  • Working knowledge of stock record and/or broker dealer books and records concepts
  • College Degree (Associates or higher) or comparable work experience
  • Intermediate-level Excel knowledge
  • Detail orientation
  • Ability to manage multiple priorities and multi task
  • Excellent time management and prioritizations skills, with ability to meet tight deadlines
  • Ability and willingness to continuously learn on the job
  • Ability to problem-solve and take ownership of process improvements
  • Able to work in a team environment
  • Excellent verbal and written communication skills with ability to communicate with various stakeholders