Employee Compliance Manager

1 Month ago • All levels • Human Resource

Job Summary

Job Description

We are seeking an Employee Compliance Manager to oversee and modernize operations for a part of our Employee Compliance team in New York. You will manage compliance professionals, provide hands-on leadership, drive documentation and process improvements, and help the team adapt to evolving business and regulatory landscapes. The ideal candidate is process-driven, collaborative, comfortable managing experienced professionals, and enjoys optimizing systems. Responsibilities include managing registration and personal account trading teams, improving current processes, overseeing employee registration lifecycles, ensuring regulatory compliance, and acting as a point of escalation.
Must have:
  • Experience managing people and teams
  • Process-oriented with a focus on continuous improvement
  • Excellent communication skills
  • Ability to manage multiple priorities
  • Manage employee compliance functions
  • Experience in financial services compliance
  • Process-driven and collaborative
  • Strong bias for documentation and clarity
Good to have:
  • Familiarity with registration systems and vendors (e.g., ComplySci)

Job Details

About the Position

We are seeking an Employee Compliance Manager to oversee and modernize the day-to-day operations of part of our Employee Compliance team in New York. You will manage a team of compliance professionals who cover a range of employee compliance areas and provide hands-on leadership, drive documentation and process improvements, and help the team adapt as our business and regulatory landscapes evolve.

The right person for this role will be process-driven, collaborative, and comfortable managing experienced professionals with deep subject matter expertise. You should enjoy thinking about how systems fit together, have a strong bias for documentation and clarity, and be energized by the challenge of modernizing processes and implementing new tools or vendors where needed. Responsibilities of this role will include:

  • Managing the Registrations and Personal Account trading teams within our larger Employee Compliance team, providing oversight, guidance, and support on day-to-day operations
  • Identifying areas for improvement within current processes and driving modernization initiatives, including around vendor and system upgrades
  • Overseeing the full lifecycle of employee registration and regulatory filings, including Form U4/U5, onboarding exchange forms, fingerprinting, background checks, and disclosure updates
  • Ensuring timely and accurate completion of regulatory requirements and responses to internal and external inquiries, including maintaining supervisory reporting lines and organizational trees
  • Serving as the first point of escalation for team questions
  • Collaborating closely with compliance leadership to bridge gaps and ensure consistent standards across teams
  • Coordinating with external vendors to ensure smooth implementation of new systems or processes
  • Staying abreast of developments in the regulatory landscape and proactively adapting team practices as needed

About You

  • Have relevant professional experience in compliance, preferably direct experience managing employee compliance functions in a financial services environment
  • Experienced with managing people, including leading teams with diverse backgrounds and experience levels
  • Highly organized, process-oriented, and motivated by continuous improvement and documentation
  • Collaborative and adaptable, able to work effectively with a range of personalities and management styles
  • Excellent communicator; able to explain complex processes clearly and respond to questions from colleagues at all levels
  • Proven able to manage multiple priorities, adapt to change, and solve process challenges with creativity and pragmatism
  • Professional, trustworthy, and able to exercise sound judgment with sensitive information
  • Familiarity with registration systems and vendors (such as ComplySci) is a plus, but not required

If you're a recruiting agency and want to partner with us, please reach out to agency-partnerships@janestreet.com.

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About The Company

Jane Street is a quantitative trading firm with offices in New York, London, Hong Kong, Singapore, and Amsterdam. We are always recruiting top candidates and we invest heavily in teaching and training. The environment at Jane Street is open, informal, intellectual, and fun. People grow into long careers here because there are always new and interesting problems to solve, systems to build, and theories to test.



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