Compliance Associate
Compliance Associate
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Overview
Our Compliance team provides critical support to ensure that the firm operates within regulatory requirements.By joining our team you will gain exposure across multiple areas within Compliance in a highly collaborative environment. In this role you will have the opportunity to learn about various aspects of U.S. brokerdealer regulation. You will interact with teams across the firm including trading desks technology and operations and gain knowledge of different types of securities such as equities options and fixed income products.
In this role you will:
- Gain experience with US securities laws rules and regulations
- Participate in regulatory inquiries audits or examinations by gathering information and drafting correspondence
- Support trade monitoring surveillance and analysis
- Manage market making registration requirements for the firm
- Review electronic communications in accordance with regulatory requirements
- Coordinate with technology team members to drive test and facilitate automation opportunities and/or process improvements on the desk
- Leverage tools such as Python VBA or SQL to improve reporting capabilities and increase the speed with which any variances are resolved
- Drive towards automation and continuous process improvement to ensure any issues that arise are resolved as quickly as possible
What were looking for
- 02 years of experience in compliance banking or trade support preferred
- Bachelors degree required preferably in Finance Accounting Economics Business or a related disciple preferred
- Advanced knowledge of Microsoft Office specifically Excel required
- Experience with Python VBA or SQL preferred
- Ability and willingness to obtain the SIE and Series 57 license and possibly other securities industry licenses if not already in possession
Susquehanna does not accept unsolicited resumes from recruiters or search firms. Any resume or referral submitted in the absence of a signed agreement will become the property of SIG and no fee will be paid.
Required Experience:
IC
Employment Type
Unclear
