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For Companies At a Glance
- Tasks: Join a dynamic team as a compliance specialist, ensuring regulatory alignment with U.S. securities laws.
- Company: Be part of a fast-growing RegTech provider revolutionising compliance solutions.
- Benefits: Enjoy competitive salary, flexible working options, and a vibrant company culture.
- Why this job: Make a real impact in the regulatory landscape 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 70000 - 90000 £ 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 Regulatory Specialist - 70K-90k GBP employer: Volition
Contact Detail:
Volition Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land SEC & FINRA Regulatory Specialist - 70K-90k GBP
✨Tip Number 1
Make sure to brush up on your knowledge of CAT and CAIS reporting obligations. Being able to discuss these topics confidently during interviews will show that you are well-prepared and understand the key compliance requirements.
✨Tip Number 2
Network with professionals in the RegTech and compliance sectors. Attend industry events or webinars where you can meet people who work in similar roles, as they might provide insights or even referrals that could help you land the job.
✨Tip Number 3
Familiarise yourself with the latest trends and changes in U.S. securities laws and regulations. This will not only prepare you for potential interview questions but also demonstrate your commitment to staying updated in a fast-evolving field.
✨Tip Number 4
Prepare to showcase your experience in managing FINRA CAIS registration and licensing data submissions. Be ready to discuss specific examples from your past roles that highlight your expertise and problem-solving skills in this area.
We think you need these skills to ace SEC & FINRA Regulatory Specialist - 70K-90k 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 updates and be prepared to discuss how these regulations impact the company's solutions.
✨Showcase Your Experience
Highlight your hands-on experience with FINRA CAIS registration and licensing data submissions. Be ready to share specific examples from your past roles that demonstrate your expertise in regulatory compliance and reporting.
✨Communicate Clearly
Since exceptional communication skills are crucial for this role, practice explaining complex regulatory concepts in simple terms. This will show your ability to translate regulations into actionable insights for clients.
✨Understand Broker-Dealer Operations
Familiarise yourself with broker-dealer operations and front-to-back trading processes. Being able to discuss these topics will demonstrate your comprehensive knowledge of the industry and how it relates to regulatory compliance.
