Financial Markets Regulatory & Filing Specialist (USA)

Job Title: Financial Markets Regulatory & Filing Specialist

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.

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.

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.

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

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.

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

Guidelines

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