Regulatory Technology Business Analyst (FINRA/SEC)

Business Analyst – Regulatory Surveillance / Capital Markets
Location: Rockville, MD or Tysons Corner, VA

Work Setting: Onsite

Job Description:

We are seeking an experienced Business Analyst with a strong background in Regulatory Surveillance, Capital Markets, Data Analysis, SQL, and UAT. The ideal candidate will bridge business and technology teams to analyze, validate, enhance, and support surveillance patterns used to detect regulatory violations across multiple asset classes.

Required Skills:

• 5+ years of Business Analysis experience in Financial Services, Regulatory Technology, Surveillance Systems, or Capital Markets
• Strong SQL skills for large-scale data analysis and investigation
• Experience with UAT, release validation, and test case development
• Ability to analyze complex business rules, data flows, and source code logic
• Experience creating BRDs, requirements documentation, and process flows
• Strong data analysis, troubleshooting, and reporting skills
• Experience with Excel and data comparison/reporting tools
• Knowledge of Agile methodologies and project tracking tools
• Hands-on experience with AI tools such as ChatGPT, GitHub Copilot, Claude, or Amazon Q

Preferred Skills:

• FINRA / SEC Regulatory Surveillance experience
• Capital Markets or Trade Surveillance domain knowledge
• Big Data platforms and distributed query engines
• Scripting experience (Python, Shell, etc.)
• Experience supporting production incidents and release management
• Source code analysis and documentation
• Generative AI Prompt Engineering and AI-assisted workflow automation

Key Responsibilities:

• Analyze and document surveillance patterns and business rules
• Perform requirements-to-code gap analysis
• Support UAT, release validation, and production issue investigations
• Write complex SQL queries and perform firm-level data analysis
• Create BRDs, test cases, release documentation, and reports
• Leverage AI tools to accelerate analysis, documentation, testing, and automation

Qualifications:

• Bachelor''''''''s degree in Business, Finance, Computer Science, or related field
• Strong communication, analytical, and documentation skills
• Financial Services experience highly preferred