Job Summary
The Business Analyst / Quality Assurance professional will support Compliance, Surveillance, and Records Management technology initiatives by translating business and regulatory requirements into actionable technology deliverables, ensuring solution quality, and driving successful project outcomes. The role serves as a liaison between business, compliance, and technology teams, supporting requirements gathering, project delivery, quality assurance, testing, and production support. The ideal candidate will have strong communication, analytical, and stakeholder management skills, with a focus on regulatory compliance and delivering high-quality solutions.
Key Responsibilities
• Partner with Compliance, Surveillance, Records Management, and Technology teams to define business requirements and solution objectives.
• Facilitate requirements gathering sessions, workshops, and stakeholder reviews.
• Create and maintain business requirements, user stories, process flows, use cases, and acceptance criteria.
• Act as a liaison between business stakeholders and development teams to ensure clear understanding of requirements and priorities.
• Support project planning, backlog grooming, prioritization, and release activities.
• Track requirements throughout delivery and ensure business objectives are achieved.
• Develop test strategies, test plans, test cases, and test execution schedules.
• Perform functional, integration, regression, and user acceptance testing.
• Document, prioritize, and track defects through resolution.
• Validate delivered solutions against business, compliance, and regulatory requirements.
• Ensure production readiness and support post-implementation validation.
• Assist with issue triage, root cause analysis, and resolution of production incidents.
• Coordinate with business users and technology teams to investigate and resolve application issues.
• Support audits, regulatory inquiries, and compliance-related evidence gathering.
Required Qualifications
• 5+ years of experience as a Business Analyst, QA Analyst, or in a combined BA/QA role.
• Experience working in Compliance, Surveillance, Records Management, Risk, Regulatory, or Financial Services environments.
• Strong experience in requirements gathering, documentation, and stakeholder management.
• Experience developing and executing test plans and test cases.
• Familiarity with Agile delivery methodologies and software development lifecycle (SDLC) processes.
• Ability to manage multiple priorities in a fast-paced environment.
• Excellent verbal, written, and presentation communication skills.
• Strong analytical and problem-solving skills, with attention to detail and a focus on delivery outcomes.
• Ability to work independently with minimal supervision and take ownership of assigned responsibilities.
Preferred Qualifications
• Knowledge of electronic communications surveillance, trade surveillance, records retention, archiving, brokerage, or regulatory systems.
• Experience using SQL for data validation and testing.
• Experience with ServiceNow, GitLab, Azure DevOps, Rally, or similar Agile tools.
• Understanding of SEC, FINRA, banking, or financial regulatory requirements.
• Experience supporting audit, governance, and risk management initiatives.
Success Characteristics
• Strong communication skills and the ability to influence stakeholders and build relationships across business and technology organizations.
• Results-oriented approach with a strong sense of ownership and accountability.
• Ability to balance attention to detail with delivery objectives.
• Proactive and organized approach to managing tasks and priorities.
• Customer-focused mindset with a commitment to quality and continuous improvement.
