Job description
The Senior Compliance Manager will lead critical compliance projects and initiatives within our compliance framework. This role requires deep expertise in both financial markets regulation and technology compliance, strong project management skills, and the ability to work effectively in a fast-paced environment.
We’re looking for someone highly self-sufficient and accountable, someone who completes their work reliably, takes ownership, stays focused, and quickly picks up on context while maintaining a low operational footprint and minimal need for oversight.
WHAT YOU’LL BE DOING:
Project Leadership and Delivery
- Lead major compliance projects such as:
- ICT implementation reviews and compliance sign-offs
- Implementation of new regulatory requirements across specific markets or asset classes
- Compliance integration for new market access or trading venues
- Regulatory remediation projects and control enhancements
- Manage project timelines, resources, and stakeholder expectations
- Define project scope, deliverables, and success metrics
- Coordinate cross-functional teams to ensure successful project implementation
Regulatory Compliance Management
- Own compliance responsibilities for assigned areas which may include:
- Specific geographic regions (e.g., APAC markets, European venues)
- Regulatory domains (e.g., market conduct, transaction reporting)
- Deep expertise in relevant regulations such as:
- US: SEC Rule 15c3-5 (Market Access Rule), Reg NMS, Reg SHO, FINRA rules
- Europe: MiFID II/MiFIR, MAR, EMIR
- Asia: Jurisdiction-specific regulations in Singapore (MAS), Japan (HST), and other relevant markets
ICT Implementation and Technology Compliance
- Lead compliance oversight of ICT implementations and technology projects
- Review and approve technology changes from a compliance perspective
- Monitor compliance with regulatory technical standards (e.g., MiFID II RTS 6 algorithmic trading requirements)
- Collaborate with technology teams to embed compliance controls in system architecture
- Oversee compliance aspects of system development lifecycle (SDLC)
- Ensure proper documentation and audit trails for all technology implementations
Regulatory Reporting and Filings
Oversee all regulatory reporting requirements including:
- Transaction reporting (CAT, TRACE, MiFID II transaction reporting)
- Position reporting and large trades reporting
- Regulatory capital calculations and reporting
Manage regulatory examinations and inquiries
Prepare and file required regulatory documents and notifications
Stakeholder Management
- Serve as compliance point of contact for assigned business areas or projects
- Participate in regulatory examinations and inquiries related to your areas of responsibility
- Present project updates and compliance metrics to stakeholders
WHAT WE LOOK FOR IN YOU:
Education and Certifications
- Bachelor’s degree in Finance, Law, Economics, Computer Science, or related field (Master’s or JD preferred)
- Relevant professional certifications (e.g., Series 7, 24, 57, or international equivalents)
- 7-10+ years of compliance experience in financial services, with at least 3 years in electronic or algorithmic trading
- Demonstrated experience in technology compliance and ICT implementation oversight
Technical Knowledge
Comprehensive knowledge of multi-jurisdictional regulations
Strong background in technology compliance, including:
- ICT governance and control frameworks
- Algorithm development and testing requirements
- System change management processes
- Technology audit and compliance testing
Experience with order types, market data, and execution venues
Knowledge of regulatory technical standards for electronic trading
Skills and Competencies
- Proven ability to interpret complex regulations and apply them to HFT operations
- Strong project management skills with experience leading complex, cross-functional initiatives
- Excellent analytical and problem-solving abilities
- Outstanding written and verbal communication skills
- Ability to work both independently and collaboratively within a team environment
- Experience managing multiple projects and priorities simultaneously
- Strong stakeholder management and influencing skills
NICE-TO-HAVE:
- Previous experience at a proprietary trading firm or HFT-focused organization
- Technical certifications (CISA, CISSP) or technology audit experience
- Experience with DevOps compliance and continuous integration/deployment environments
- Knowledge of cloud infrastructure compliance requirements
- Programming skills (Python, SQL) for data analysis and surveillance
WHY YOU SHOULD JOIN OUR TEAM?
- Great challenges with fast feedback loops
- A welcoming group of highly qualified international professionals
- Cutting-edge hardware and technology
- Work remotely from anywhere in the world
- Access any of our global offices anytime
- Flexible schedule
- 40 paid days off
- Competitive salary
