SEC & FINRA Compliance Specialist - CAT/CAIS Expert

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

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.