ABOUT THIS ROLEWe are looking for a motivated professional to manage critical regulatory reporting functions for our firm. The
Regulatory Reporting Specialist will be responsible for ensuring full compliance with FINRA's Customer & Account Information Systems (CAIS) submissions and Consolidated Audit Trail (CAT) reporting requirements. The ideal candidate is detail-oriented, deadline-driven, and possesses a strong understanding of broker-dealer regulatory obligations.
Key ResponsibilitiesCAIS Reporting (Customer & Account Information Systems)- Ensure timely reporting of new accounts, account updates, and account closures in accordance with FINRA requirements
- Validate customer data elements including personally identifiable information (PII), tax identification numbers, and account characteristics
- Reconcile CAIS submissions against internal records and customer databases to ensure data integrity
- Address CAIS error notifications promptly and resubmit corrected files as needed
- Maintain thorough documentation of CAIS reporting methodologies and data mappings
CAT Reporting (Consolidated Audit Trail)- Oversee daily submission of order events, trade events, and all other required CAT data elements
- Monitor the CAT Reporter Portal for submission status, error reports, and industry alerts
- Investigate and resolve CAT reporting errors, rejections, and data quality issues in a timely manner
- Ensure ongoing compliance with CAT Technical Specifications and Industry Member
Technical Specifications- Coordinate with technology teams on CAT Reporter Agent connectivity and file transmission
- Maintain accurate CAT clock synchronization and FINRA Gateway configurations
- Track and implement regulatory changes related to CAT Phase implementation requirements
Qualifications- Bachelor's degree in Finance, Accounting, Business, or a related field
- 2+ years of experience in regulatory reporting, compliance, or operations within a brokerdealer or financial services environment
- Working knowledge of FINRA CAIS and CAT reporting frameworks
- Familiarity with CAT Technical Specifications and FINRA Gateway systems
- Strong analytical and problem-solving skills with high attention to detail
- Ability to manage multiple deadlines in a fast-paced, compliance-driven environment
- Proficiency in Microsoft Excel and data reconciliation tools; experience with regulatory reporting platforms a plus
Preferred Skills- Experience coordinating with technology or IT teams on data transmission and system connectivity
- Knowledge of broker-dealer operations, order management systems, and trade lifecycle
- Familiarity with FINRA rules and SEC regulations governing audit trail and customer account reporting
- Familiarity with SQL for data querying and analysis
- Familiarity with AI tools and their practical application in a workplace setting
- Strong written and verbal communication skills for cross-functional collaboration and documentation
#compliance #associate #full-time #LI-MJ1 #APEX
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.
Our RewardsWe offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.
