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For Companies At a Glance
- Tasks: Join a dynamic team ensuring compliance with U.S. securities laws and industry regulations.
- Company: Be part of a fast-growing RegTech provider revolutionising the compliance landscape.
- Benefits: Enjoy competitive salary, flexible working options, and a vibrant company culture.
- Why this job: Make a real impact in regulatory compliance while developing your expertise in a supportive environment.
- Qualifications: 5+ years in capital markets or regulatory compliance; strong communication skills required.
- Other info: Ideal for those passionate about finance and technology, looking to grow their career.
The predicted salary is between 80000 - 120000 £ per year.
Job Description
Overview:
A fast-growing RegTech provider is looking for an experienced SEC & FINRA compliance specialist to join their platform team. In this role, you will serve as the subject matter expert, ensuring the company’s solutions and services remain fully aligned with U.S. securities laws and applicable industry regulations.
Key Qualifications:
- Solid knowledge of CAT and CAIS reporting obligations, along with SEC trade lifecycle compliance requirements.
- Hands-on experience managing FINRA CAIS registration and licensing data submissions.
- Familiarity with broker-dealer operations, front-to-back trading processes, or regulatory technology products.
- Strong grasp of trade lifecycle data structures and regulatory reporting processes.
Preferred Experience:
- Demonstrated track record in CAT reporting.
- 5+ years in capital markets, regulatory compliance/reporting, or trading system environments (consulting or vendor background highly regarded).
- Skilled at leading discussions with clients and walking them through regulatory requirements.
- Exceptional written and verbal communication abilities, with a talent for translating complex regulations into practical, actionable deliverables.
SEC & FINRA Compliance & Regulatory Specialist - 100K-120k GBP employer: Volition
Contact Detail:
Volition Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land SEC & FINRA Compliance & Regulatory Specialist - 100K-120k GBP
✨Tip Number 1
Network with professionals in the RegTech and compliance sectors. Attend industry events or webinars where you can meet people who work in SEC and FINRA compliance. This can help you gain insights into the role and potentially get referrals.
✨Tip Number 2
Stay updated on the latest changes in SEC and FINRA regulations. Follow relevant news sources, blogs, and forums to ensure you are well-informed about current compliance challenges and solutions in the industry.
✨Tip Number 3
Prepare to discuss your hands-on experience with CAT and CAIS reporting during interviews. Be ready to provide specific examples of how you've managed compliance processes and any challenges you've overcome in previous roles.
✨Tip Number 4
Practice articulating complex regulatory concepts in simple terms. Since the role requires translating regulations into actionable deliverables, being able to communicate clearly and effectively will set you apart from other candidates.
We think you need these skills to ace SEC & FINRA Compliance & Regulatory Specialist - 100K-120k GBP
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience with SEC and FINRA compliance, particularly your knowledge of CAT and CAIS reporting obligations. Use specific examples from your past roles to demonstrate your expertise.
Craft a Compelling Cover Letter: In your cover letter, explain why you are passionate about regulatory compliance and how your background aligns with the company's needs. Mention your hands-on experience with FINRA CAIS registration and your ability to communicate complex regulations clearly.
Showcase Relevant Experience: When detailing your work history, focus on your 5+ years in capital markets or regulatory compliance. Highlight any consulting or vendor experience, as well as your familiarity with broker-dealer operations and trading processes.
Proofread and Edit: Before submitting your application, carefully proofread your documents for any spelling or grammatical errors. Ensure that your writing is clear and professional, reflecting your exceptional communication abilities.
How to prepare for a job interview at Volition
✨Showcase Your Regulatory Knowledge
Make sure to highlight your understanding of SEC and FINRA regulations during the interview. Be prepared to discuss specific compliance requirements, such as CAT and CAIS reporting obligations, and how you've successfully navigated these in your previous roles.
✨Demonstrate Practical Experience
Share concrete examples from your past work that illustrate your hands-on experience with regulatory compliance and reporting. Discuss any challenges you faced and how you overcame them, particularly in relation to trade lifecycle data structures and regulatory reporting processes.
✨Communicate Clearly
Given the importance of translating complex regulations into actionable deliverables, practice articulating your thoughts clearly and concisely. Use simple language to explain intricate concepts, ensuring that even those unfamiliar with the regulations can understand your points.
✨Prepare for Client Interaction Scenarios
Since the role involves leading discussions with clients, think about potential scenarios you might encounter. Prepare to demonstrate how you would guide clients through regulatory requirements, showcasing your communication skills and ability to build rapport.
