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Financial Services -- Compliance Technology Enablement (closed)

New York, NY
Competitive compensation
Recruiter Comment: Hiring! Seeking candidates for a Big 4 client, to join their Technology Compliance Enablement practice. NYC location. Email your resume for prompt consideration to

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Job Description

When you're on our Financial Services team, you specialize in a particular competency - Risk, Performance Improvement, or IT Risk & Assurance - all as part of a world class, cross-functional team. You also have the opportunity to work across disciplines with professionals who have broad financial services industry sector experience and deep subject-matter knowledge. In FSO, our growth strategy focuses on being account-centric, issue-based and competency-driven.  

We currently have a career opportunity for an individual in FSO's  Compliance Technology Enablement group. The individual will work directly with clients to transform their business problems into technology solutions. The goal is to support our clients' efforts to make their business units more effective and efficient and, where required, provide services in connection with the remediation and mitigation of process risk. Our experience is also important to the analysis of specific business requirements for alignment with technology architecture, technology infrastructure design, and vendor selection decisions that support the finance organizations of our clients.

This position falls within our Tech Enablement Compliance group, which focuses on Anti-Money Laundering, Trade Reporting, Trade Surveillance, Risk Convergence and Records Retention/e-Messaging.


Manage project teams through all phases of the technology enablement life cycle. Lend specific subject matter knowledge to the design and integration phase of each project, helping to give specificity to the appropriate architecture, data model, and system design and interfacing requirements.

 Advise clients on a variety of business process services that help identify, assess, manage and measure the organization's capabilities. Use business process, organizational and technology capabilities and knowledge across several of the following focus areas:

•             Finance Strategy (Vision, Mission, Guiding Principles)

•             Enterprise Data Management/Reference Data Management

•             Financial Accounting and Reporting Operations/Technology

•             Reinsurance Accounting and Reporting Operations/Technology

•             Budgeting, Planning and Forecasting Operations/Technology

•             Performance Management and Measurement (KPIs, business driver-based metrics)

•             General Ledger/ERP Systems Features/Functionality

•             Data Warehousing Features/Functionality

•             Statutory Reporting Systems Features/Functionality

•             Enterprise Technology Expense Reduction

Team with client technology professionals, and/or third-party strategic alliances to provide implementation of technology solutions.

 Participate in engagement management, engagement execution and reporting, and client relationship building and management.

To qualify, candidates must have:

  • a bachelor's degree and approximately 5 years of related work experience; or a graduate degree and approximately 4 years of related work experience
  • a degree in computer science, engineering, accounting, finance or a related field; MBA or MS degree preferred
  • a minimum of 3+ years of relevant experience at a financial services company or comparable experience working as an advisor to a financial services company
  • demonstrated ability to manage and supervise a team of technology advisors through all phases of the technology life cycle, including requirements definition, architecture design, conversion and testing
  • strong written and verbal communication, presentation, client service and technical writing skills, coupled with a strong interest in further developing and integrating operations with technology skills
  • ability and comfort level researching client inquiries and emerging issues, including regulations, industry practices, and new technologies

Experience in any of the following areas:

  • Definition of business and technical requirements
  • Design of business and technology architecture
  • Conduct system/current state assessments
  • System selection and implementation support
  • Data mapping and conversion
  • Proof of concept
  • Quality assurance and testing
  • Business and IT process reengineering
  • Root cause analysis
  • Program/Project management and implementation planning (PMO)
  • Budgeting, Planning and Forecasting Operations/Technology
  • Understanding of AML Regulations and enforcement actions
  • Understanding of Trade Reporting requirements (e.g. NASD OATS)

Project experiences similar to these:

•             AML transaction monitoring system implementation

•             AML remediation and mitigation of process and controls risk

•             Current state IT assessments - continuous improvement

•             System integration

•             Process redesign

•             ERP implementation

•             Trade surveillance solutions implementation

•             Trading compliance review

•             Trading operations advancement

Application/Package experience in any of the following:

•             Transaction Monitoring Vendor Solutions - Mantas, Actimize, SearchSpace, Aquilan, Norkom, SAS

•             KYC Vendor Solutions - Cicada, GoldTier, TurboCompliance, Syfact

•             OFAC Vendor Solutions - Metavante, Accuity

•             Trade Reporting Vendor Solutions

•             Trade Surveillance Vendor Solutions

Willingness and ability to travel approximately 50-70%.

The successful candidate should possess strong knowledge of and experience in supervising and executing all phases of the technology life cycle, based on proven project management and testing methodologies. It is essential that the successful candidate possess a deep knowledge of technical architecture design and have a good understanding of technology tools and components to reasonably argue for and against all components (middleware, database, reporting tools, etc.) in financial systems architecture.

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