Senior Compliance Manager

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