Overview:

A fast-growing RegTech provider is looking for an experienced SEC & FINRA compliance specialist to join their platform team. In this role, you will serve as the subject matter expert, ensuring the company’s solutions and services remain fully aligned with U.S. securities laws and applicable industry regulations.

Key Qualifications:

1. Solid knowledge of CAT and CAIS reporting obligations, along with SEC trade lifecycle compliance requirements.
2. Hands-on experience managing FINRA CAIS registration and licensing data submissions.
3. Familiarity with broker-dealer operations, front-to-back trading processes, or regulatory technology products.
4. Strong grasp of trade lifecycle data structures and regulatory reporting processes.

Preferred Experience:

• Demonstrated track record in CAT reporting.
• 5+ years in capital markets, regulatory compliance/reporting, or trading system environments (consulting or vendor background highly regarded).
• Skilled at leading discussions with clients and walking them through regulatory requirements.
• Exceptional written and verbal communication abilities, with a talent for translating complex regulations into practical, actionable deliverables.