Susquehanna is seeking a Compliance Officer for the firm’s core regulatory compliance program. This individual will be responsible for ensuring the firm meets its regulatory obligations while promoting a strong culture of compliance across the organization.
If you join us, you will
- Directly support the Head of Core Compliance in overseeing employee related compliance areas (e.g., personal trading, conflicts of interest, OBAs); licensing and registration; regulatory and trade reporting; marketing material review; AML; and global policy development
- Help manage the Core Compliance team while being a strong team contributor
- Develop, implement, and maintain compliance policies and procedures aligned with regulatory expectations (e.g., SEC, FINRA)
- Provide guidance to business leaders and employees on compliance-related matters and regulatory requirements
- Collaborate closely with global compliance teams to ensure alignment on key initiatives and best practices
- Conduct periodic reviews and monitoring to assess the effectiveness of compliance controls
- Support regulatory exams, inquiries, and audits
What we're looking for
- 5 to 10 years of compliance experience within financial services, ideally within a trading firm, broker-dealer, or asset manager
- Strong knowledge of regulatory requirements related to Core Compliance program coverage areas
- Experience managing or overseeing compliance programs
- Experience with regulatory reporting including global beneficial ownership reporting and trade reporting
- Marketing or advertising review experience
- Familiarity with personal trading surveillance and conflicts management
- Strong communication skills and ability to work across business and control functions
- High level of integrity, attention to detail, and sound judgment
- Ability to respond to a fast changing environment and a willingness to think creatively
- Visa sponsorship for work authorization is not available for this position now or in the future
About Susquehanna
Susquehanna is a global quantitative trading firm powered by scientific rigor, curiosity, and innovation. Our culture is intellectually driven and highly collaborative, bringing together researchers, engineers, and traders to design and deploy impactful strategies in our systematic trading environment. To meet the unique challenges of global markets, Susquehanna applies machine learning and advanced quantitative research to vast datasets in order to uncover actionable insights and build effective strategies. By uniting deep market expertise with cutting-edge technology, we excel in solving complex problems and pushing boundaries together.
If you're a recruiting agency and want to partner with us, please reach out to recruiting@sig.com. Any resume or referral submitted in the absence of a signed agreement will not be eligible for an agency fee.
#LI-CB1 #LI-Onsite- 5 to 10 years of compliance experience within financial services, ideally within a trading firm, broker-dealer, or asset manager
- Strong knowledge of regulatory requirements related to Core Compliance program coverage areas
- Experience managing or overseeing compliance programs
- Experience with regulatory reporting including global beneficial ownership reporting and trade reporting
- Marketing or advertising review experience
- Familiarity with personal trading surveillance and conflicts management
- Strong communication skills and ability to work across business and control functions
- High level of integrity, attention to detail, and sound judgment
- Ability to respond to a fast changing environment and a willingness to think creatively
- Visa sponsorship for work authorization is not available for this position now or in the future
About Susquehanna
Susquehanna is a global quantitative trading firm powered by scientific rigor, curiosity, and innovation. Our culture is intellectually driven and highly collaborative, bringing together researchers, engineers, and traders to design and deploy impactful strategies in our systematic trading environment. To meet the unique challenges of global markets, Susquehanna applies machine learning and advanced quantitative research to vast datasets in order to uncover actionable insights and build effective strategies. By uniting deep market expertise with cutting-edge technology, we excel in solving complex problems and pushing boundaries together.
If you're a recruiting agency and want to partner with us, please reach out to recruiting@sig.com. Any resume or referral submitted in the absence of a signed agreement will not be eligible for an agency fee.
#LI-CB1 #LI-OnsiteFrom SIG's posting. See the original
