Head of Core Compliance

Susquehanna is seeking a Head of Core Compliance to lead the firms core regulatory compliance programs. This individual will be responsible for ensuring the firm meets its regulatory obligations while promoting a strong culture of compliance across the organization.

If you join us you will:

• Lead the Core Compliance function with oversight to include employee related compliance (e.g. personal trading conflicts of interest OBAs) licensing registration and employee trainings programs
• Manage the Core compliance team
• Oversee licensing and registration requirements ensuring timely filings and ongoing compliance with applicable regulations
• Develop implement and maintain compliance policies and procedures aligned with regulatory expectations (e.g. SEC FINRA)
• Provide guidance to business leaders and employees on compliance-related matters and regulatory requirements
• Oversee employee disclosures attestations and related compliance processes
• Collaborate closely with global compliance teams to ensure alignment on key initiatives and best practices
• Conduct periodic reviews and monitoring to assess the effectiveness of compliance controls
• Support regulatory exams inquiries and audits

• 815 years of compliance experience within financial services ideally within a trading firm broker-dealer or asset manager
• Strong knowledge of regulatory requirements related to Core compliance program coverage areas
• Experience managing or overseeing compliance programs
• Familiarity with personal trading surveillance and conflicts management
• Strong communication skills and ability to work across business and control functions
• High level of integrity attention to detail and sound judgment
• Visa sponsorship for work authorization is not available for this position now or in the future.

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