SEC & FINRA Regulatory/Compliance Specialist

Carnegie Consulting

London

On-site

GBP 60,000 - 70,000

Full time

14 days+

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Job summary

A leading consulting firm is seeking an SEC and FINRA Compliance Specialist to join their team in London. The role involves serving as an in-house compliance expert to ensure software and services align with U.S. regulations. With a mid-senior level focus, the position demands expertise in CAT and CAIS reporting and compliance documentation. Candidates should have strong stakeholder management skills and the ability to communicate complex regulatory requirements clearly.

Qualifications

3–5 years of experience in Regulatory Technology or financial services.
Deep knowledge of CAT/CAIS reporting and SEC trade lifecycle.
Excellent communication skills to translate regulatory complexity.

Responsibilities

Serve as SME on SEC and FINRA trade reporting requirements.
Collaborate with Product and Engineering teams to implement regulations.
Provide client support during regulatory onboarding and audits.

Skills

Communication

Stakeholder Management

Cross-functional Collaboration

Regulatory Knowledge

Quality Assurance

Job description

SEC & FINRA Regulatory/Compliance Specialist

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Job Title: SEC and FINRA Compliance Specialist

About 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:

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.

Seniority level