Senior Compliance Manager

Summary

Join our team as a Senior Compliance Manager and lead critical compliance projects and initiatives within our compliance framework. This role demands deep expertise in financial markets regulation and technology compliance, strong project management skills, and the ability to thrive in a fast-paced environment. You will be responsible for project leadership and delivery, regulatory compliance management, ICT implementation and technology compliance, regulatory reporting and filings, and stakeholder management. The ideal candidate possesses a Bachelor's degree (Master's or JD preferred) in a relevant field, relevant professional certifications, and 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 is crucial. We offer a competitive salary, 40 paid days off, flexible schedule, remote work options, and access to global offices.

Requirements

• 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
• 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
• 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

Responsibilities

• 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
• 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
• 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
• 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
• 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

Preferred Qualifications

• 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

Benefits

• Work remotely from anywhere in the world
• Access any of our global offices anytime
• Flexible schedule
• 40 paid days off
• Competitive salary