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- 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.
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.41bf1e1f-b16b-4260-a40a-17c77a06fd15
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 people who work in SEC and FINRA compliance. This can help you gain insights into the role and potentially lead to referrals.
✨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. This knowledge will not only help you in interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare to discuss specific examples from your past experience that relate to CAT and CAIS reporting obligations. Be ready to explain how you've successfully navigated compliance challenges and contributed to regulatory reporting processes 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 during interviews.
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 in regulatory compliance.
Craft a Compelling Cover Letter: In your cover letter, explain why you are the ideal candidate for this role. Emphasise your hands-on experience with FINRA CAIS registration and your familiarity with broker-dealer operations. Show how your skills align with the company's needs.
Highlight Communication Skills: Since exceptional communication abilities are crucial for this position, provide examples of how you've successfully translated complex regulations into actionable deliverables in previous roles. This will showcase your ability to lead discussions with clients effectively.
Proofread Your Application: Before submitting your application, thoroughly proofread all documents. Ensure there are no spelling or grammatical errors, as attention to detail is vital in compliance roles. A polished application reflects your professionalism.
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 applied this knowledge in previous roles.
✨Demonstrate Practical Experience
Share examples from your past work that illustrate your hands-on experience with regulatory compliance and reporting. Discuss any relevant projects where you managed FINRA CAIS registration or dealt with trade lifecycle data structures.
✨Communicate Clearly
Since strong communication skills are essential for this role, practice explaining complex regulatory concepts in simple terms. This will show your ability to translate intricate regulations into actionable insights for clients.
✨Prepare for Client Interaction Scenarios
Expect questions about how you would handle discussions with clients regarding regulatory requirements. Think of scenarios where you've successfully guided clients through compliance processes and be ready to share those experiences.
