Date Posted: 2022-04-18

Job ID: EB-2130509121
Category: Analytics & Data Sciences
Location: NYC, DC, Chicago Hybrid, 

Sr. Compliance Analyst
Direct Hire, Full-time
160 to 180K + 24% Bonus
NYC, DC, or Chicago Hybrid
Sponsorship Available
Relocation Available


The Senior IT Compliance Analyst will be a contributing member of the our Information Technology (“IT”) Compliance Department. The IT Compliance Department is responsible for the development, implementation, and management of a comprehensive risk-based IT compliance program designed to support the company’s overall compliance with regulations, laws, and corporate policies relating to its IT systems and processes. The department is also responsible for supporting the IT organization in its efforts to identify, measure, monitor, and mitigate IT related risk. The Senior IT Compliance Analyst will support the framework, processes, tools, reporting, and communication necessary to maintain overall IT compliance.


  • Lead technical assessments of new systems, changes to existing systems, and software defects to identify potential areas of regulatory, operational, and functional risk and to identify compensating controls.
  • Lead external regulatory examinations of IT systems, policies, procedures, and processes.
  • Lead responses to regulatory information requests in a timely manner, often requiring coordination across multiple business units.
  • Lead reoccurring activities related to maintaining compliance with SEC Regulation Systems Compliance and Integrity (“Reg SCI”) and other regulatory requirements, while adhering to strict deadlines.
  • Lead communication between multiple business units including technology, business, regulation, legal and others, to help ensure compliance objectives are met.
  • Provide strategic advice and guidance pertaining to IT compliance topics, often consisting of a complex technical nature.
  • Lead on-going monitoring of compliance and status reporting to key stakeholders.


  • Bachelor’s degree or equivalent in a relevant area of study.
  • Relevant industry certifications are desired (ISACA, ISC2, ITIL, etc.).
  • 5+ years of experience in the following professional areas, preferably in the financial services or Information Technology industry:
    • IT Governance, Risk, and Compliance
    • IT Systems Development Lifecycle (“SDLC”) process or IT business analyst
    • IT audit or IT controls assurance
    • Government or Industry Regulator focusing on Technology
    • Equities or options market structure, automated trading systems, or low latency market data processing
    • Regulatory compliance specific to equities or options markets
  • Demonstrate a solid understanding of information technology risk and control frameworks and be able to assess and design controls based on those frameworks (COBIT, ISO, NIST, ITIL, etc.).
  • Ability to review and understand financial securities industry regulation.
  • Ability to understand and communicate on a multitude of complex technical topics, often having to context switch at a rapid pace with a changing audience.
  • Excellent written, verbal, and presentation communication skills.
  • Be a motivated self-starter with exceptional problem-solving skills, attention to detail, and a continual willingness to learn.
  • Experience writing code or scripts to implement process automation and or data analysis is desired (Python, Perl, Java, VBA, etc.).

BrainWorks, founded in 1991, is a leading executive search firm that prides itself on delivering superior talent to drive business performance. Our consultants are experts in their practice areas, which include CRM, Direct / Database Marketing and Customer Sciences / Advanced Analytics.

The Relationship Marketing and Decision Sciences Practice Group places top performing candidates, from mid-level managers to C-level executives, with companies spanning from entrepreneurial start-ups to Fortune 500’s. Some of the business areas in which these candidates specialize include the following: Statistical Modeling, Advanced Analytics, Web Analytics, Digital Analytics, Customer Analytics, and Campaign Management.

When you partner with BrainWorks you will receive industry expertise coupled with quality, speed and results guaranteeing a great hire. We look forward to having the opportunity to work with you

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