Financial Markets Regulatory & Filing Specialist (USA)

Job Title: Financial Markets Regulatory & Filing Specialist

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Job Overview

We are seeking a detail-oriented and knowledgeable Financial Markets Regulatory & Filing Specialist to manage and support regulatory compliance, financial disclosures, and filing processes across capital markets activities. The ideal candidate will have a strong understanding of securities regulations, reporting obligations, and exchange filing systems, ensuring adherence to all applicable legal and regulatory frameworks.

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Key Responsibilities

• Ensure compliance with capital markets regulations and applicable securities laws.
• Manage and oversee securities compliance processes for financial transactions and reporting.
• Prepare, review, and submit corporate disclosures in accordance with regulatory requirements.
• Support regulatory aspects of IPO and secondary offerings, including documentation and filings.
• Handle financial reporting obligations and ensure timely submission of reports to relevant authorities.
• Operate and manage exchange filing systems (e.g., SEC, stock exchange platforms, or equivalent).
• Classify and maintain records of market participants as per regulatory guidelines.
• Monitor regulatory updates and implement necessary compliance changes.
• Collaborate with internal teams (legal, finance, and operations) to ensure seamless regulatory adherence.
• Maintain accurate documentation and audit trails for all filings and compliance activities.

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Required Skills & Expertise

• Strong knowledge of capital markets regulations and securities compliance.
• Familiarity with corporate disclosure requirements and reporting standards.
• Understanding of IPO processes and secondary offering regulations.
• Experience with financial reporting frameworks and compliance obligations.
• Hands-on experience with exchange filing systems.
• Knowledge of market participant classifications and regulatory structures.
• Excellent attention to detail and analytical skills.
• Strong communication and documentation abilities.

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Preferred Background

Candidates with experience in the following roles will be highly preferred:

• Securities Compliance Specialist
• Regulatory Reporting Expert
• Capital Markets Analyst
• Financial Disclosure Professional

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Qualifications

• Bachelor’s or Master’s degree in Finance, Accounting, Economics, Law, or a related field.
• Relevant certifications (e.g., CFA, CPA, FRM, or compliance-related certifications) are a plus.
• 2-7 years of experience in regulatory compliance, capital markets, or financial reporting.

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NOTE: Pay will vary depending on the years of experience of the candidate.