Job Description

Currently, we are looking for talented resources for one of our listed clients. If interested please reply to me with your updated resume or feel free to reach out to me for more details at (949) 506-1328

Hybrid role - 3 days Onsite and 2 days Remote

Job Description:

• This Business Analyst role focuses on supporting the operations, compliance, and governance of the Client-ONE Alternative Trading System (ATS). 
• A few key responsibilities include producing and reconciling performance metrics; protecting confidential trading information (CTI) and supporting the Supervisors with Subscriber and Business Unit matters related to the Client-ONE ATS. 
• Client Global Markets Inc. is a global investment bank and securities brokerage firm that, along with its Client affiliates, provides complete financial solutions to corporations, governments, institutions and individuals in 100 countries. 
• Client-ONE is an alternative trading system (ATS) registered with the Securities Exchange Commission (SEC). 
• Client Global Markets, Inc. ("CGMI"), is the Broker-Dealer Operator of the Client-ONE ATS. 

Objectives: 

• Produce and reconcile Client-ONE ATS metrics. 
• Focus on safeguarding, limiting and protecting confidential trading information (CTI) pertaining to the Client-ONE ATS (alternative trading system) to those that operate or provide compliance to the ATS [SEC Rule 301(b)(10)] 
• Align SEC Rule 304 of Regulation ATS to Client-ONE and understand the process of the Form ATS-N filing(s), including change process (amendments), to ensure proper and adequate disclosure. 
• Assist in the production of high-quality governance documentation that meets applicable standards for its intended audience either with direct or indirect assistance from technology partners.
• ATS monthly Governance Forum, Business Requirements, Functional Design.

Requirements:

• Implementation and Test Plans, etc. 
• Provide support to the Client-ONE ATS Supervisors (primary and delegate) as it pertains to Direct and Indirect Subscribers, CGMI Business Units and Affiliates. 
• [Indirectly] Assist in providing certain support services related to CGMI's supervisory, compliance, surveillance, recordkeeping, and reporting obligations pertaining to Client-ONE. 
• Collaborate in partnership with Operations Compliance and Network, LLC (Ocean) and teams (internally and externally) to ensure various end-to-end initiatives and processes for ATS Participants are completed and working as designed. 
• Assist in gathering, drafting | editing, and adhering to developing Client-ONE standard operating procedures ("SOPs") and written supervisory procedures ("WSP"). 
• Collaborate with technology partners (internal and external) to draft, develop and implement documentation new and enhanced functionality within the ATS. 

Qualifications: 

• Bachelor's degree or the equivalent [candidate must have the necessary working Knowledge, Skills and Abilities (KSA) to be able to perform the functions of the advertised position proficiently].
• Knowledge of the U.S. regulatory environment pertaining to alternative trading systems and the electronic equity trading business. 
• Preferable but not required FINRA registrations (e.g., Series 7, 55, 63). 
• General working knowledge of Technology (Application Development and Infrastructure) as well as the Financial Information eXchange (FIX) protocol, JIRA, etc. 
• Robust communication (written, verbal and listening) skills. Excellent written skills in English. 
• Problem solver, self-motivator.

Time management skills:

• Must illustrate good organizational skills and the ability to exercise control over the amount of time spent planning and focusing on initiatives and execution. 
• Excellent MS Excel and Powerpoint skills. 
• Team player and client (internal and external) friendly

About us:
At our organization, we take our mission and values to heart! We are on a mission to offer more and better jobs all over the world! Our goal is to care for you while you care for our clients and get you paid the highest pay possible. All our associates working with us are expected to embrace our RACE values: R - Results Matter, A- Approachable, C - Care, and E - Emergency i.e. work with a sense of urgency.

For more relevant job opportunities please visit our website:  Denken Solutions Careers

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