Recruiter's Glossary

Examples: Form ADV • Compliance Monitoring • Attestation

SEC Regulations

Term from Compliance industry explained for recruiters

SEC Regulations are the rules and guidelines set by the Securities and Exchange Commission (SEC) that companies must follow when dealing with financial markets and investments. Think of these as the rulebook that keeps the financial industry fair and protects investors. These regulations cover everything from how companies report their finances to how they handle customer information. Companies hire compliance professionals to make sure they're following all these rules correctly and avoiding any legal problems. This is similar to how companies have safety regulations or food handling regulations - it's about following established standards to protect everyone involved.

Examples in Resumes

Implemented SEC Regulations compliance program for investment advisory firm

Conducted staff training on SEC Regulatory requirements and updates

Managed SEC Regulation audits and examinations with zero major findings

Ensured company adherence to Securities and Exchange Commission Regulations

Typical job title: "Compliance Officers"

Also try searching for:

Compliance Manager Regulatory Compliance Specialist SEC Compliance Officer Financial Compliance Analyst Regulatory Affairs Manager Chief Compliance Officer Compliance Director

Where to Find Compliance Officers

Professional Associations

Online Resources

Job Boards

Example Interview Questions

Senior Level Questions

Q: How would you design a compliance program for a growing financial firm?

Expected Answer: A senior candidate should explain creating comprehensive policies, building a monitoring system, establishing reporting procedures, training staff, and maintaining documentation. They should mention risk assessment and involving key stakeholders.

Q: How do you stay current with changing SEC regulations?

Expected Answer: Should discuss using multiple information sources like SEC bulletins, industry news, professional networks, attending conferences, and having a system to communicate updates to the organization.

Mid Level Questions

Q: What's your process for conducting internal audits?

Expected Answer: Should describe planning, document review, interviewing staff, identifying gaps, reporting findings, and following up on corrective actions.

Q: How do you handle a potential compliance violation?

Expected Answer: Should explain investigation steps, documentation process, reporting to management, corrective action plans, and preventive measures for the future.

Junior Level Questions

Q: What are the main components of SEC recordkeeping requirements?

Expected Answer: Should be able to explain basic documentation needs, retention periods, and the importance of organized record maintenance.

Q: How would you explain SEC filing requirements to a new employee?

Expected Answer: Should demonstrate ability to explain basic filing deadlines, common forms, and the importance of accurate reporting in simple terms.