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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 a collaborative work environment with opportunities for professional growth and development.
- Why this job: Make a real impact by helping clients navigate complex regulations while working in a fast-paced startup culture.
- Qualifications: 3-5 years in Regulatory Technology or finance, with deep knowledge of trade reporting requirements.
- Other info: Ideal for those who thrive in a startup atmosphere and love tackling regulatory challenges.
The predicted salary is between 36000 - 60000 £ per year.
Job Description
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
Familiarise yourself with the latest SEC and FINRA regulations, especially around CAT, CAIS, and Bluesheets. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing regulatory environment.
✨Tip Number 2
Network with professionals in the regulatory technology space. Attend industry events or webinars where you can meet people who work in compliance roles. Building these connections can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance challenges in the past. Be ready to explain your thought process and the outcomes, as this will showcase your problem-solving skills and experience in a practical context.
✨Tip Number 4
Demonstrate your ability to communicate complex regulatory information clearly. Practice explaining intricate compliance concepts in simple terms, as this skill is crucial for collaborating with both technical teams and clients.
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 you fully understand the responsibilities and requirements of the SEC & FINRA Regulatory/Compliance Specialist position. Familiarise yourself with terms like CAT, CAIS, and Bluesheets to demonstrate your knowledge in your application.
Tailor Your CV: Customise your CV to highlight relevant experience in regulatory technology and compliance. Emphasise your understanding of SEC and FINRA regulations, as well as any specific projects or roles that align with the job description.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and regulatory technology. Use specific examples from your past experiences to illustrate how you can contribute to the company's goals and support their clients effectively.
Highlight Communication Skills: Since excellent communication skills are essential for this role, ensure you provide examples of how you've successfully translated complex regulatory information into clear insights for various stakeholders in your application.
How to prepare for a job interview at Carnegie Consulting
✨Know Your Regulations
Make sure you have a solid understanding of SEC and FINRA regulations, especially around CAT, CAIS, and Bluesheets. Brush up on the latest updates and be ready to discuss how these impact compliance and reporting.
✨Showcase Your Collaboration Skills
Since the role involves working closely with Product and Engineering teams, prepare examples of past experiences where you've successfully collaborated across departments. Highlight your ability to communicate complex regulatory requirements in a way that everyone can understand.
✨Demonstrate Problem-Solving Abilities
Be ready to discuss specific challenges you've faced in regulatory compliance and how you resolved them. This could include client onboarding issues or navigating audits. Show that you can think critically and act decisively under pressure.
✨Prepare for Technical Questions
Expect technical questions related to trade lifecycle data and reporting workflows. Familiarise yourself with the tools and technologies used in regulatory reporting, and be prepared to explain how you've used them in previous roles.
