Head of Core Compliance

Overview

Susquehanna is seeking a Head of Core Compliance to lead the firm’s 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

 

What we’re looking for

• 8–15+ 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.

If you're a recruiting agency and want to partner with us, please reach out to recruiting@sig.com. Any resume or referral submitted in the absence of a signed agreement will not be eligible for an agency fee.

 #LI-CB1 #LI-Onsite