3 of 3 Permanent FINRA Jobs in the City of London

class capabilities. Serve as a governance and architecture lead across multi-party AI initiatives. 4. Risk, Compliance & Responsible AI Ensure solutions are aligned with regulatory and compliance requirements (e.g., FINRA, SEC, GDPR, Model Risk Governance). Design solutions with embedded safeguards around transparency, explainability, auditability, and ethical AI usage. 5. Knowledge Development & Enablement Create reusable playbooks, frameworks, and GenAI solution More ❯

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 … 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 More ❯

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 … 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 More ❯