SEC & FINRA Regulatory/Compliance Specialist

ZipRecruiter; London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading compliance consultancy firm in London is seeking a skilled SEC and FINRA Compliance Specialist to ensure adherence to regulatory standards and support clients with accurate reporting. The ideal candidate has 3–5 years of experience in Regulatory Technology, understands SEC and FINRA regulations intimately, and possesses exceptional communication and stakeholder management skills. This role plays a crucial part in compliance strategy and execution, contributing to both documentation and client interactions.

Qualifications

• 3–5 years of experience in Regulatory Technology or within the financial services industry.
• Deep knowledge of CAT/CAIS reporting and SEC trade lifecycle requirements.
• Experience with FINRA CAIS registration and licensing data processes.
• Familiarity with SEC Bluesheets reporting requirements.
• Understanding of MSRB rules and municipal securities compliance obligations.
• Exposure to broker-dealer operations and trading systems.
• Excellent communication skills to translate regulatory complexity into actionable insights.
• Proven stakeholder management skills.

Responsibilities

• Serve as the SME on SEC and FINRA trade reporting requirements.
• Collaborate with Product and Engineering teams for regulatory rule implementation.
• Monitor ongoing regulatory developments impacting product features.
• Provide client support during regulatory onboarding and audits.
• Ensure data accuracy across CAT, CAIS, and Bluesheets submissions.
• Work with the reporting Advisory team to provide compliance insights.
• Assist with ad hoc regulatory challenges from clients.
• Contribute to regulatory documentation and internal training materials.

Skills

Regulatory Technology

SEC trade lifecycle requirements

CAT/CAIS reporting

FINRA CAIS registration

SEC Bluesheets reporting

MSRB rules compliance

broker-dealer operations

trade lifecycle data

stakeholder management

cross-functional collaboration

Job description

Job Description

Job Title: SEC and FINRA Compliance Specialist

About the Role:

We are seeking a highly energetic, skilled, and experienced SEC and FINRA Specialist to join our platform. This individual will serve as the in-house compliance expert and subject matter expert (SME), ensuring our software and services are fully aligned with U.S. securities regulations and industry standards. You will play a critical role in enabling clients to rely on our technology for accurate and compliant regulatory reporting.

Key Responsibilities:

• Serve as the SME on SEC and FINRA trade reporting requirements, including CAT, CAIS, Bluesheets, and MSRB.
• Collaborate closely with Product and Engineering teams to ensure regulatory rules are accurately implemented in our transaction reporting platform, En:ACT.
• Monitor ongoing regulatory developments and assess their impact on product features and client obligations.
• Provide client support during regulatory onboarding, audits, and issue resolution related to trade reporting.
• Ensure data accuracy and completeness across CAT, CAIS, and Bluesheets submissions through thorough validation and QA processes.
• Work in tandem with the transactional reporting Advisory team, offering clear and actionable compliance insights in a client-centric manner.
• Assist with ad hoc regulatory challenges from clients relating to reporting regimes.
• Contribute to the creation of regulatory documentation, user guides, and internal training materials to strengthen compliance awareness across teams.

Key Skills & Qualifications:

Essential Requirements:

• 3–5 years of experience in Regulatory Technology or within the financial services industry.
• Deep knowledge of CAT/CAIS reporting and SEC trade lifecycle requirements.
• Experience with FINRA CAIS registration and licensing data processes.
• Familiarity with SEC Bluesheets reporting requirements and data complexities.
• Understanding of MSRB rules and municipal securities compliance obligations.
• Exposure to broker-dealer operations, trading systems, or regulatory reporting solutions.
• Strong grasp of trade lifecycle data and reporting workflows.
• Excellent communication skills with the ability to translate regulatory complexity into clear, actionable insights for both technical and non-technical stakeholders.
• Proven stakeholder management and cross-functional collaboration skills; comfortable operating in a fast-paced, startup environment.

Nice to Have:

• Experience with regulatory engines or trade reporting automation tools.
• Background in product development or working closely with product teams in a regulated environment.