SEC & FINRA Regulatory/Compliance Specialist

SEC & FINRA Regulatory/Compliance Specialist

SEC & FINRA Regulatory/Compliance Specialist

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Specialist Financial Services Headhunter | Connecting Top Talent with Leading Institutions

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:

• 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.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

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