A leading global trading firm is seeking a Senior Compliance Manager to drive critical compliance projects and strengthen its compliance framework. This role combines regulatory expertise, project leadership, and cross-functional collaboration in a fast-paced environment.
We are looking for someone proactive, accountable, and able to manage multiple priorities independently while working effectively with stakeholders across the business.
Key Responsibilities
* Lead major compliance initiatives, including the rollout of new regulatory requirements, market access projects, and control enhancements
* Manage compliance programs across assigned business areas, regions, or regulatory domains
* Oversee reporting obligations and support regulatory examinations and inquiries
* Define project goals, manage timelines, and coordinate cross-functional teams to deliver results
* Serve as a key compliance advisor to stakeholders, providing guidance and updates on regulatory developments
Regulations Covered
* US: SEC Rule 15c3-5 (Market Access Rule), Reg NMS, Reg SHO, FINRA rules
* Europe: MiFID II/MiFIR, MAR, EMIR
* Asia: MAS (Singapore), HST (Japan), and other jurisdiction-specific regulations
Qualifications
* Bachelor’s degree in Finance, Law, Economics, or related field (advanced degree preferred)
* Relevant certifications (e.g., Series 7, 24, 57, or international equivalents)
* 7–10+ years of compliance experience in financial services, with exposure to electronic or algorithmic trading preferred
* Strong knowledge of global financial markets regulations
* Proven track record leading complex, cross-functional projects
* Excellent communication, analytical, and problem-solving skills
* Ability to work both independently and collaboratively with stakeholders at all levels