Regulatory Reporting Specialist

Apex

Hybrid Actively hiring
Austin, TX Posted 46 days ago
View original post Log in to save

At a glance

AI generated

TL;DR

The Regulatory Reporting Specialist role within the compliance team requires a detail-oriented professional to manage critical regulatory reporting functions for our firm, ensuring full compliance with FINRA's Customer & Account Information Systems (CAIS) and Consolidated Audit Trail (CAT) requirements. Day-to-day responsibilities include validating customer data, reconciling CAIS submissions, addressing error notifications, and coordinating with technology teams on CAT Reporter Agent connectivity. The ideal candidate has 2+ years of experience in regulatory reporting within a broker-dealer environment, familiarity with FINRA rules and SEC regulations, and proficiency in Microsoft Excel and data reconciliation tools. Knowledge of SQL and AI tools is preferred, as well as strong analytical skills and the ability to manage multiple deadlines in a fast-paced setting.

Skills

FINRA CAT Microsoft Excel SQL CI/CD Python PostgreSQL Kubernetes AWS Terraform Docker Prometheus Grafana AI tools

What you'll do

  • Ensure timely CAIS reporting for new accounts, updates, and closures.
  • Validate customer data elements including PII and tax identification numbers.
  • Reconcile CAIS submissions against internal records to maintain data integrity.
  • Investigate and resolve CAT reporting errors and rejections promptly.
  • Coordinate with technology teams on CAT Reporter Agent connectivity issues.
  • Track regulatory changes related to CAT Phase implementation requirements.
  • Maintain accurate documentation of CAIS reporting methodologies and data mappings.

What we're looking for

  • 2+ years of experience in regulatory reporting within a broker-dealer environment.
  • Bachelor's degree in Finance, Accounting, Business, or related field.
  • Strong understanding of FINRA CAIS and CAT reporting frameworks.
  • Ability to manage multiple deadlines in a fast-paced compliance-driven environment.
  • Proficiency in Microsoft Excel and data reconciliation tools.
  • Familiarity with CAT Technical Specifications and FINRA Gateway systems.
  • Excellent analytical skills and high attention to detail.

Market check

Salary context

This listing doesn't show a salary. Similar roles on FindRole typically pay $113,158–$171,000.

Peer median band

$113,158–$171,000

Median floor and ceiling across peers.

Typical midpoint (25–75%)

$118,965–$186,200

Middle half of comparable postings.

Based on 237 comparable postings.

* 240 is the maximum number of comparable postings sampled.

Employer

About Apex

Apex Fintech Solutions provides brokerage infrastructure and clearing services to financial services companies, enabling them to deliver investing, trading, and retirement solutions to their customers. Industry: Financial Technology & Brokerage Infrastructure

Apex currently has 33 open roles on FindRole.

Listed pay typically runs $129,200–$161,500 across 10 roles with salary data.

Most-posted roles

View all roles at Apex

More like this

Similar roles

Bus Systems Analyst Sr - Regulatory Reporting

PNC

Two Pnc Plaza (Pa374), US 18 days ago
SQL Oracle Teradata Excel Tableau Power BI Oracle BI FRY 9c FFIEC 031 FRY 14M/Q FR2590 Basel III General Ledger Balance sheet Income statement Business process improvement System analysis Requirement documentation

Compliance Analyst II

Affirm

Remote (US) 15 days ago $100,000–$140,000
Python SQL Regulatory Compliance Credit Reporting Dispute Resolution Bankruptcy Law Fair Lending UDAAP Project Management Risk Assessment Process Improvement Metrics Reporting Fintech Consumer Financial Protection
Remote

Data Analyst - Regulatory Reporting - Adyen

Ayden

US 22 days ago
SQL Python Looker BI tools Spark CI/CD Kafka Hadoop PostgreSQL MySQL Regulatory Reporting AML Data Risk Data Data Pipelines Automation Validation Frameworks

Consumer Compliance Analyst

Plaid

United States, US 46 days ago $98,880–$146,400
UDAAP CCPA GDPR TILA EFTA SQL Python R Tableau JIRA Confluence Google Workspace Microsoft Office Suite CI/CD Kubernetes AWS Docker GitHub PostgreSQL MongoDB REST APIs JSON

NERC CIP Compliance Senior Technical Auditor

AES Corporation

Remote (Us, Salt Lake City, Ut, US) 52 days ago $100,000–$124,950
NERC CIP Standards Industrial Control Systems (ICS) IT audits Security controls Project management Microsoft Word Excel PowerPoint SharePoint RFI/RFQ processes Compliance monitoring Risk management frameworks CI/CD
Remote