SEC and FINRA Specialist in City of London

Job description

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.

Extra information

Status

Open

Education Level

Secondary School

Location

City of London

Type of Contract

Part-time jobs

Published at

01-09-2025

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English