Senior Consultant - Compliance Registrations

Location: New York City | Practice Area: Capital Markets | Type: Permanent

Shape regulatory excellence within complex capital markets environments

The Role
As a Senior Consultant within our Capital Markets team, you will play a key role in delivering compliance registration initiatives for leading financial institutions. Working alongside experienced professionals, you will support end-to-end delivery across regulatory, operational, and technology-driven projects. This role is ideal for an experienced Business Analyst with strong broker-dealer knowledge and hands-on exposure to FINRA registration processes.

What You’ll Do

• Support FINRA registration processes including onboarding, transfers, amendments, renewals, and terminations within broker-dealer environments
• Lead business analysis activities such as requirements gathering, process mapping, gap analysis, and solution design for registration platforms
• Collaborate with technology teams to translate and prioritize business requirements into actionable deliverables
• Facilitate user testing, validation, and sign-off processes to enable successful production releases
• Engage stakeholders to define target operating models and support delivery across multiple workstreams

What We’re Looking For

• 5+ years of experience as a Business Analyst within Capital Markets or broker-dealer environments
• Proven experience supporting FINRA registrations or regulatory platforms and licensing processes
• Strong knowledge of broker-dealer regulations, securities transactions, and FINRA rules
• Experience working across full project lifecycles using Agile and/or Waterfall methodologies
• Strong communication skills with the ability to engage and influence diverse stakeholders

Bonus Points For

• Experience working on registration or compliance technology platforms
• Familiarity with tools such as JIRA, TFS, or similar delivery tools
• Exposure to front office systems, trading environments, or regulatory reporting
• Experience supporting target operating model design or transformation initiatives
• Advanced proficiency in Microsoft Office tools (Excel, PowerPoint, Visio, Project)

Why Join Capco

• Deliver high-impact technology solutions for Tier 1 financial institutions
• Work in a collaborative, flat, and entrepreneurial consulting culture
• Access continuous learning, training, and industry certifications
• Be part of a team shaping the future of digital financial services
• Help shape the future of digital transformation across FS & Energy.

We offer a competitive, people-first benefits package designed to support every aspect of your life:

• Medical, Dental, Vision coverage
• 401(k) with employer match
• Tuition reimbursement and wellness programs
• Paid parental leave and dependent care support
• Access to employee discount platforms and commuter benefits

Use of Artificial Intelligence in Talent Acquisition
At Capco, we use artificial intelligence (AI) tools to support and enhance several parts of talent acquisition. This includes using AI-enabled features within LinkedIn to help source potential candidates, speeding up routine recruitment communications such as emails and creating compelling and brand-aligned job postings that accurately reflect role requirements, and AI-scheduling applications to improve the efficiency of interview coordination.

AI is used as a support tool only. All hiring decisions are made by talent acquisition and hiring teams.

Inclusion at Capco
We’re committed to making our recruitment process accessible and straightforward for everyone. If you need any adjustments at any stage, just let us know – we’ll be happy to help. We value each person’s unique perspective and contribution. At Capco, we believe that being yourself is your greatest strength. Our #BeYourselfAtWork culture encourages individuality and collaboration – a mindset that shapes how we work with clients and each other every day.