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For Companies At a Glance
- Tasks: Join our team as a compliance expert, ensuring we meet U.S. securities laws.
- Company: We're a fast-growing RegTech provider revolutionising compliance solutions.
- Benefits: Enjoy competitive pay, flexible working options, and a dynamic work environment.
- Why this job: Make a real impact in the regulatory space while growing your expertise.
- Qualifications: 5+ years in compliance or trading systems; strong communication skills required.
- Other info: Ideal for those passionate about regulatory technology and capital markets.
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 conferences or webinars where you can meet potential colleagues and learn about the latest trends in SEC and FINRA regulations.
✨Tip Number 2
Stay updated on the latest changes in U.S. securities laws and regulations. Follow relevant news sources, blogs, and regulatory bodies to ensure you are well-informed and can discuss current issues during interviews.
✨Tip Number 3
Prepare to demonstrate your hands-on experience with CAT and CAIS reporting obligations. Be ready to share specific examples of how you've managed compliance processes in previous roles, as this will showcase your expertise.
✨Tip Number 4
Practice articulating complex regulatory concepts in simple terms. This skill is crucial for the role, so consider doing mock interviews where you explain these concepts to someone unfamiliar with the field.
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 effectively.
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 concise, reflecting your exceptional communication abilities.
How to prepare for a job interview at Volition
✨Know Your Regulations
Make sure you have a solid understanding of SEC and FINRA regulations, especially CAT and CAIS reporting obligations. Brush up on the latest changes in these areas, as demonstrating your knowledge will show that you're serious about compliance.
✨Showcase Your Experience
Prepare to discuss your hands-on experience with FINRA CAIS registration and licensing data submissions. Be ready to provide specific examples from your past roles that highlight your expertise in managing compliance processes.
✨Communicate Clearly
Since exceptional communication skills are crucial for this role, practice explaining complex regulatory concepts in simple terms. This will help you demonstrate your ability to translate regulations into actionable deliverables during the interview.
✨Engage with Real-World Scenarios
Be prepared to engage in discussions about real-world scenarios related to broker-dealer operations and trade lifecycle compliance. Think of examples where you've successfully navigated challenges in these areas, as this will showcase your problem-solving skills.
