Talent.com
Senior Compliance ManagerNewRemote

Senior Compliance ManagerNewRemote

EqvilentWinston Salem, NC, US
1 day ago
Job type
  • Full-time
Job description

Senior Compliance Manager

The Senior Compliance Manager will lead critical compliance projects and initiatives within our compliance framework. This role requires deep expertise in both financial markets regulation and technology compliance, strong project management skills, and the ability to work effectively in a fast-paced environment. We're looking for someone highly self-sufficient and accountable, someone who completes their work reliably, takes ownership, stays focused, and quickly picks up on context while maintaining a low operational footprint and minimal need for oversight.

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
  • Create a job alert for this search

    Senior Compliance • Winston Salem, NC, US

    Related jobs
    • Promoted
    Remote Senior Financial Analyst ($50-$60 / hour)

    Remote Senior Financial Analyst ($50-$60 / hour)

    Data AnnotationHigh Point, North Carolina
    Remote
    Full-time +1
    We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the quality of ...Show moreLast updated: 16 days ago
    Stormwater Compliance Technician

    Stormwater Compliance Technician

    Stormwater Operations SpecialistsThomasville, NC, USA
    Full-time
    Quick Apply
    Are you ready to embark on a meaningful journey to safeguard our environment? Join the team at Stormwater Operations Specialists, located in. Stormwater Compliance Technician.Don't miss out on this ...Show moreLast updated: 30+ days ago
    • Promoted
    HR Compliance Manager

    HR Compliance Manager

    Old Dominion Freight LineThomasville, NC, US
    Full-time
    Are you someone who never rests on their laurels, always strives to go above and beyond, and is committed to keeping your PROMISES? Do you appreciate a company culture that is open, fosters work-li...Show moreLast updated: 22 days ago
    • Promoted
    Sr. Manager, Supply Chain Asset Protection and Safety-PFN

    Sr. Manager, Supply Chain Asset Protection and Safety-PFN

    Lowe'sThomasville, NC, US
    Full-time
    Asset Protection And Safety Manager.Lead and develop a team of Asset Protection and Safety professionals to deliver business objectives. Partner with Supply Chain Operations and 3PL leadership to id...Show moreLast updated: 6 days ago
    • Promoted
    Remote FP&A Manager – AI Trainer ($50-$60 / hour)

    Remote FP&A Manager – AI Trainer ($50-$60 / hour)

    Data AnnotationHigh Point, North Carolina
    Remote
    Full-time +1
    We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the quality of ...Show moreLast updated: 16 days ago
    • Promoted
    EHS Manager

    EHS Manager

    1007 Clarios, LLCKernersville, North Carolina, United States
    Full-time
    This will be onsite 5 days a week at our Winston Salem location.In this role you will have oversight and accountability for the Environmental, Health and Safety (EHS) operations at a single plant a...Show moreLast updated: 30+ days ago
    • Promoted
    United States Border Patrol Agent

    United States Border Patrol Agent

    U.S. Customs and Border ProtectionDenton, NC, US
    Full-time
    Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, p...Show moreLast updated: 4 days ago
    • Promoted
    Youth Partner

    Youth Partner

    Vaya HealthDanbury, NC, United States
    Full-time
    This is a time limited grant funded position with an anticipated assignment period thru September 29, 2028.Remote - must live in or near Alamance, Caswell, Chatham, Person, Rockingham, and Stokes C...Show moreLast updated: 8 days ago
    • Promoted
    Business Relationship Manager (BRM) - SD & FSO Track

    Business Relationship Manager (BRM) - SD & FSO Track

    HCLTechSalisbury, NC, US
    Full-time
    Business Relationship Manager (BRM) – SD & FSO Track.United States (Onsite / Hybrid – as per business requirement) – Salisbury. Business Relationship Manager (BRM).Field Service ...Show moreLast updated: 22 days ago
    • Promoted
    Remote Litigation Attorney

    Remote Litigation Attorney

    TemPositionsHigh Point, NC, US
    Remote
    Full-time +1
    Hearing Representative - Special Education Claims.A prestigious government agency is addressing the backlog of special education claims in New York City to ensure timely and fair resolution of disp...Show moreLast updated: 1 day ago
    • Promoted
    U.S. Customs and Border Protection Officer

    U.S. Customs and Border Protection Officer

    U.S. Customs and Border ProtectionDenton, North Carolina, US
    Full-time +1
    Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, p...Show moreLast updated: 20 days ago
    • Promoted
    Lead the Team, Rule the Day Shift

    Lead the Team, Rule the Day Shift

    Southern Health PartnersDenton, NC, US
    Full-time
    Lead with Integrity – RN Medical Team Administrator.Southern Health Partners (SHP).Our nurses are the foundation of our success, making life-and-death decisions every day with integrity, compassion...Show moreLast updated: 2 days ago
    • Promoted
    Financial Advisor

    Financial Advisor

    Edward JonesMount Airy, NC, US
    Full-time
    This job posting is anticipated to remain open for 30 days, from 15-Oct-2025.The posting may close early due to the volume of applicants. If you find yourself at a professional crossroads, a career ...Show moreLast updated: 3 days ago
    • Promoted
    Restaurant Delivery - Flexible Onboarding

    Restaurant Delivery - Flexible Onboarding

    DoorDashSummerfield, NC, United States
    Full-time +1
    DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day. As a Dasher, you’ll stay busy with a variety o...Show moreLast updated: 4 days ago
    • Promoted
    Business Relationship Manager (BRM) – SD & FSO Track

    Business Relationship Manager (BRM) – SD & FSO Track

    HCLTechSalisbury, NC, United States
    Full-time
    Business Relationship Manager (BRM) – SD & FSO Track.United States (Onsite / Hybrid – as per business requirement) – Salisbury. Business Relationship Manager (BRM).Field Service Operations (FSO).The i...Show moreLast updated: 23 days ago
    • Promoted
    Marine Interdiction Agent

    Marine Interdiction Agent

    U.S. Customs and Border ProtectionHarmony, NC, US
    Full-time
    Air and Marine Operations (AMO), a component of U.Customs and Border Protection (CBP) offers those with Merchant Mariner Credentials the exceptional opportunity of a career in law enforcement worki...Show moreLast updated: 1 day ago
    • Promoted
    United States Customs and Border Protection Officer

    United States Customs and Border Protection Officer

    U.S. Customs and Border ProtectionDenton, North Carolina, US
    Full-time +1
    Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, p...Show moreLast updated: 20 days ago
    • Promoted
    Job Manager, Global Trade Compliance

    Job Manager, Global Trade Compliance

    Hayward IndustriesClemmons, NC, US
    Full-time
    NYSE "HAYW") is the largest manufacturer of residential swimming pool equipment in the world, with a significant presence in the commercial pool market that is continuously growing.Hayward designs,...Show moreLast updated: 30+ days ago