SEC & FINRA Specialist

Are you passionate about regulatory compliance and cutting-edge fintech solutions?

I'm excited to be recruiting for a SEC & FINRA Specialist on behalf of a leading RegTech firm that's revolutionising derivative transaction reporting and reconciliation for major financial institutions worldwide.

My client is a rapidly growing firm offering regulatory compliance solutions for the derivatives space. Their flagship platform helps banks, asset managers, and brokers navigate complex reporting requirements with automated, seamless solutions.

The Role

As the SEC & FINRA Specialist, you'll be the go-to expert, working at the intersection of regulation and technology to ensure the platform stays ahead of evolving U.S. securities requirements.

Key responsibilities include:

• Acting as SME on SEC and FINRA trade reporting (CAT, CAIS, Bluesheets, MSRB)
• Collaborating with Product and Engineering teams to implement regulatory rules
• Monitoring regulatory changes and assessing platform impact
• Supporting client onboarding, audits, and compliance issue resolution
• Ensuring data accuracy across all reporting submissions
• Contributing to regulatory documentation and training materials

The Candidate:

• 3-5 years in Regulatory Technology or related industry
• Deep knowledge of CAT/CAIS reporting and SEC trade lifecycle requirements
• Experience with FINRA CAIS registration and licensing processes
• Familiarity with SEC Bluesheets and MSRB municipal securities compliance
• Strong understanding of trade lifecycle data and reporting workflows
• Excellent communication skills to translate complex regulations into actionable insights
• Collaborative mindset suited to a dynamic, growing environment

This is a rare opportunity to shape the future of regulatory compliance technology while working with a forward-thinking team that values innovation, diversity, and professional growth.