Regulatory Reporting Specialist

Apex Fintech Solutions • Austin, TX

1d • Hybrid

About The Position

We 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.

Requirements

• 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

Nice To Haves

• 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

Responsibilities

• CAIS 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

Benefits

• We 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level