Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Become the go-to expert for SEC and FINRA compliance, ensuring our tech meets all regulations.
- Company: Join a dynamic platform focused on innovative regulatory solutions in the financial services industry.
- Benefits: Enjoy flexible work options, competitive pay, and opportunities for professional growth.
- Why this job: Make a real impact by helping clients navigate complex regulations while working in a fast-paced environment.
- Qualifications: 3-5 years in Regulatory Technology or finance, with strong knowledge of trade reporting requirements.
- Other info: Ideal for those who thrive in startups and love tackling regulatory challenges.
The predicted salary is between 36000 - 60000 £ per year.
Job Title: SEC and FINRA Compliance Specialist
About the Role:
We are seeking a highly energetic, skilled, and experienced SEC and FINRA Specialist to join our platform. This individual will serve as the in-house compliance expert and subject matter expert (SME), ensuring our software and services are fully aligned with U.S. securities regulations and industry standards. You will play a critical role in enabling clients to rely on our technology for accurate and compliant regulatory reporting.
Key Responsibilities:
- Serve as the SME on SEC and FINRA trade reporting requirements , including CAT, CAIS, Bluesheets, and MSRB.
- Collaborate closely with Product and Engineering teams to ensure regulatory rules are accurately implemented in our transaction reporting platform, En:ACT.
- Monitor ongoing regulatory developments and assess their impact on product features and client obligations.
- Provide client support during regulatory onboarding, audits, and issue resolution related to trade reporting.
- Ensure data accuracy and completeness across CAT, CAIS, and Bluesheets submissions through thorough validation and QA processes.
- Work in tandem with the transactional reporting Advisory team , offering clear and actionable compliance insights in a client-centric manner.
- Assist with ad hoc regulatory challenges from clients relating to reporting regimes.
- Contribute to the creation of regulatory documentation , user guides, and internal training materials to strengthen compliance awareness across teams.
Key Skills & Qualifications:
Essential Requirements:
- 3–5 years of experience in Regulatory Technology or within the financial services industry.
- Deep knowledge of CAT/CAIS reporting and SEC trade lifecycle requirements.
- Experience with FINRA CAIS registration and licensing data processes.
- Familiarity with SEC Bluesheets reporting requirements and data complexities.
- Understanding of MSRB rules and municipal securities compliance obligations.
- Exposure to broker-dealer operations , trading systems, or regulatory reporting solutions.
- Strong grasp of trade lifecycle data and reporting workflows.
- Excellent communication skills with the ability to translate regulatory complexity into clear, actionable insights for both technical and non-technical stakeholders.
- Proven stakeholder management and cross-functional collaboration skills; comfortable operating in a fast-paced, startup environment .
Nice to Have:
- Experience with regulatory engines or trade reporting automation tools .
- Background in product development or working closely with product teams in a regulated environment.
SEC & FINRA Regulatory/Compliance Specialist employer: Carnegie Consulting
Contact Detail:
Carnegie Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land SEC & FINRA Regulatory/Compliance Specialist
✨Tip Number 1
Network with professionals in the regulatory technology and financial services sectors. Attend industry conferences, webinars, or local meetups to connect with potential colleagues and learn about the latest trends in SEC and FINRA compliance.
✨Tip Number 2
Stay updated on the latest regulatory changes and developments related to SEC and FINRA. Follow relevant news sources, subscribe to industry newsletters, and engage in online forums to demonstrate your knowledge during interviews.
✨Tip Number 3
Consider obtaining certifications related to compliance and regulatory reporting, such as the Certified Regulatory Compliance Manager (CRCM) or similar credentials. This can enhance your credibility and show your commitment to the field.
✨Tip Number 4
Prepare to discuss specific examples of how you've navigated regulatory challenges in previous roles. Highlight your experience with CAT, CAIS, and Bluesheets reporting to showcase your expertise and problem-solving skills.
We think you need these skills to ace SEC & FINRA Regulatory/Compliance Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities and requirements of the SEC & FINRA Regulatory/Compliance Specialist position. Tailor your application to highlight relevant experience and skills that align with the job description.
Highlight Relevant Experience: In your CV and cover letter, emphasise your 3–5 years of experience in Regulatory Technology or the financial services industry. Be specific about your knowledge of CAT/CAIS reporting and SEC trade lifecycle requirements, as these are crucial for the role.
Showcase Communication Skills: Since excellent communication skills are essential for this position, provide examples in your application that demonstrate your ability to translate complex regulatory information into clear insights for various stakeholders.
Tailor Your Cover Letter: Craft a compelling cover letter that not only outlines your qualifications but also expresses your enthusiasm for the role. Mention how your background in compliance and regulatory reporting can contribute to the company's success.
How to prepare for a job interview at Carnegie Consulting
✨Showcase Your Regulatory Knowledge
Make sure to brush up on your knowledge of SEC and FINRA regulations, especially CAT, CAIS, and Bluesheets. Be prepared to discuss how these regulations impact trade reporting and how you have navigated them in previous roles.
✨Demonstrate Collaboration Skills
Since the role involves working closely with Product and Engineering teams, be ready to share examples of how you've successfully collaborated with cross-functional teams in the past. Highlight any specific projects where your input was crucial to compliance.
✨Prepare for Scenario-Based Questions
Expect questions that present hypothetical regulatory challenges. Think about how you would approach these situations, focusing on your problem-solving skills and ability to provide clear, actionable insights to clients.
✨Communicate Clearly and Confidently
Your ability to translate complex regulatory information into understandable terms is key. Practice explaining intricate concepts in simple language, as this will demonstrate your communication skills and client-centric approach.
