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- 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 sector.
- Benefits: Enjoy a collaborative work culture with opportunities for growth and learning in a fast-paced environment.
- Why this job: Make a real impact by helping clients navigate complex regulations while working with cutting-edge technology.
- Qualifications: 3-5 years in Regulatory Technology or finance, with deep knowledge of trade reporting requirements.
- Other info: Ideal for those who thrive in startups and want to shape compliance practices.
The predicted salary is between 36000 - 60000 £ per year.
Job Title: SEC and FINRA Compliance SpecialistAbout 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: LinkedIn
Contact Detail:
LinkedIn 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 compliance field, particularly those who have experience with SEC and FINRA requirements. Attend industry events or webinars to make connections that could lead to valuable insights and potential referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled regulatory challenges in the past. Being able to articulate your problem-solving skills and experiences will set you apart from other candidates.
✨Tip Number 4
Showcase your ability to collaborate with cross-functional teams by highlighting any past experiences where you worked closely with product or engineering teams. This will demonstrate your understanding of how compliance integrates with technology and product development.
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 qualifications required for the SEC & FINRA Regulatory/Compliance Specialist position. Tailor your application to highlight relevant experience in regulatory technology and compliance.
Highlight Relevant Experience: In your CV and cover letter, emphasise your 3–5 years of experience in the financial services industry, particularly focusing on CAT/CAIS reporting and SEC trade lifecycle requirements. Use specific examples to demonstrate your expertise.
Showcase Communication Skills: Since excellent communication skills are essential for this role, ensure your application reflects your ability to translate complex regulatory information into clear insights. Consider including examples of how you've successfully communicated with both technical and non-technical stakeholders.
Tailor Your Cover Letter: Craft a personalised cover letter that addresses the key responsibilities mentioned in the job description. Discuss how your background aligns with the company's needs and express your enthusiasm for contributing to their compliance efforts.
How to prepare for a job interview at LinkedIn
✨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 clear manner.
✨Demonstrate Problem-Solving Abilities
Be ready to discuss specific challenges you've faced in regulatory compliance and how you resolved them. This will show your potential employer that you can handle the ad hoc regulatory challenges that may arise.
✨Prepare for Client-Centric Scenarios
Think about how you would support clients during regulatory onboarding or audits. Prepare to share examples of how you've provided actionable insights to clients in the past, as this is crucial for the role.
