SEC & FINRA Compliance & Regulatory Specialist

Volition; United States; On-site; USD 80,000 - 120,000; Full time

Job summary

A leading RegTech provider is seeking an experienced SEC & FINRA compliance specialist to join their platform team. This role requires solid knowledge of U.S. securities laws, hands-on FINRA CAIS management experience, and exceptional communication skills. Candidates should have over 5 years in capital markets or regulatory compliance. The position offers opportunities to influence regulatory practices within a dynamic industry.

Qualifications

• Solid knowledge of SEC and FINRA compliance requirements.
• 5+ years in capital markets or regulatory compliance.
• Exceptional written and verbal communication skills.

Responsibilities

• Ensure compliance with U.S. securities laws.
• Manage FINRA CAIS registration and data submissions.
• Lead discussions with clients about regulatory requirements.

Skills

CAT reporting obligations

FINRA CAIS management

Broker-dealer operations knowledge

Trade lifecycle data structures

Regulatory reporting processes

Job description

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

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

Seniority level

• Mid-Senior level

Employment type

• Full-time

Job function

• Other

Industries

• Staffing and Recruiting