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- Tasks: Ensure compliance with SEC and FINRA regulations while collaborating on innovative tech solutions.
- Company: Join a dynamic financial services firm focused on regulatory excellence.
- Benefits: Competitive salary, full-time role, and opportunities for professional growth.
- Other info: Fast-paced startup environment with excellent career advancement potential.
- Why this job: Be the compliance expert that shapes the future of regulatory technology.
- Qualifications: 3-5 years in Regulatory Technology or financial services with strong communication skills.
The predicted salary is between 43200 - 72000 £ per year.
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:
- 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 like a pro! Reach out to folks in the industry, especially those who work at Carnegie Consulting or similar firms. A friendly chat can open doors and give you insider info on what they’re really looking for.
✨Tip Number 2
Show off your expertise! Prepare to discuss specific SEC and FINRA regulations during interviews. Bring examples of how you've tackled compliance challenges in the past – it’ll show you know your stuff and can hit the ground running.
✨Tip Number 3
Don’t just apply – engage! When you submit your application through our website, follow up with a message to the hiring manager. A little enthusiasm goes a long way and shows you’re genuinely interested in the role.
✨Tip Number 4
Be ready for scenario questions! Prepare to discuss how you would handle real-world compliance situations. This will demonstrate your problem-solving skills and ability to think on your feet, which is crucial in a fast-paced environment.
We think you need these skills to ace SEC & FINRA Regulatory/Compliance Specialist
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience with SEC and FINRA regulations. We want to see how your skills align with the job description, so don’t be shy about showcasing your relevant expertise!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how your background makes you the perfect fit for our team. Keep it engaging and relevant to the role.
Showcase Your Communication Skills: Since this role involves translating complex regulatory requirements, make sure your application reflects your ability to communicate clearly. Use straightforward language and examples that demonstrate your knack for simplifying complexity.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Carnegie Consulting
✨Know Your Regulations
Make sure you brush up on SEC and FINRA regulations, especially CAT, CAIS, and Bluesheets. Being able to discuss these topics confidently will show that you're not just familiar with the requirements but also passionate about compliance.
✨Showcase Your Collaboration Skills
Since this role involves working closely with Product and Engineering teams, be ready to share examples of how you've successfully collaborated in the past. Highlight your ability to translate complex regulatory requirements into actionable insights for different stakeholders.
✨Prepare for Real-World Scenarios
Think of specific challenges you’ve faced in regulatory compliance and how you resolved them. This could include dealing with audits or ensuring data accuracy. Sharing these experiences will demonstrate your problem-solving skills and practical knowledge.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's approach to compliance and how they stay updated with regulatory changes. This shows your genuine interest in the role and helps you assess if the company’s values align with yours.