Business Analyst Alternative Trading System / Electronic Trading System

Job description

<p><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">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 <strong>(949) 506-1328</strong></span></span></p> <p><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;"><strong>Hybrid role - 3 days Onsite and 2 days Remote</strong></span></span></p> <p><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;"><strong>Job Description:</strong></span></span></p> <ul> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">This Business Analyst role focuses on supporting the operations, compliance, and governance of the Client-ONE Alternative Trading System (ATS). </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">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. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">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. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Client-ONE is an alternative trading system (ATS) registered with the Securities Exchange Commission (SEC). </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Client Global Markets, Inc.

("CGMI"), is the Broker-Dealer Operator of the Client-ONE ATS. </span></span></li>
</ul> <p><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;"><strong>Objectives: </strong></span></span></p> <ul> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Produce and reconcile Client-ONE ATS metrics. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">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)] </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">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. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">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.</span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">ATS monthly Governance Forum, Business Requirements, Functional Design.</span></span></li>
</ul> <p><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;"><strong>Requirements:</strong></span></span></p> <ul> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Implementation and Test Plans, etc. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Provide support to the Client-ONE ATS Supervisors (primary and delegate) as it pertains to Direct and Indirect Subscribers, CGMI Business Units and Affiliates. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">[Indirectly] Assist in providing certain support services related to CGMI's supervisory, compliance, surveillance, recordkeeping, and reporting obligations pertaining to Client-ONE. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">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. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Assist in gathering, drafting | editing, and adhering to developing Client-ONE standard operating procedures ("SOPs") and written supervisory procedures ("WSP"). </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Collaborate with technology partners (internal and external) to draft, develop and implement documentation new and enhanced functionality within the ATS. </span></span></li>
</ul> <p><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;"><strong>Qualifications: </strong></span></span></p> <ul> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">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].</span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Knowledge of the U.S. regulatory environment pertaining to alternative trading systems and the electronic equity trading business. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Preferable but not required FINRA registrations (e.g., Series 7, 55, 63). </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">General working knowledge of Technology (Application Development and Infrastructure) as well as the Financial Information eXchange (FIX) protocol, JIRA, etc. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Robust communication (written, verbal and listening) skills.

Excellent written skills in English. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Problem solver, self-motivator.</span></span></li>
</ul> <p><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;"><strong>Time management skills:</strong></span></span></p> <ul> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Must illustrate good organizational skills and the ability to exercise control over the amount of time spent planning and focusing on initiatives and execution. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Excellent MS Excel and Powerpoint skills. </span></span></li> <li><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;">Team player and client (internal and external) friendly</span></span></li>
</ul> <p><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;"><strong>About us:</strong><br />
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.</span></span></p> <p><span style="font-size:12px;"><span style="font-family:Arial,Helvetica,sans-serif;"><strong>For more relevant job opportunities please visit our website: <a href="https://denkensolutions.com/careers">Denken Solutions Careers</a></strong></span></span></p>

Required Skill Profession

Sales Representatives, Wholesale And Manufacturing