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 rulesEurope : MiFID II / MiFIR, MAR, EMIRAsia : Jurisdiction-specific regulations in Singapore (MAS), Japan (HST), and other relevant marketsICT Implementation and Technology Compliance
Lead compliance oversight of ICT implementations and technology projectsReview and approve technology changes from a compliance perspectiveMonitor compliance with regulatory technical standards (e.g., MiFID II RTS 6 algorithmic trading requirements)Collaborate with technology teams to embed compliance controls in system architectureOversee compliance aspects of system development lifecycle (SDLC)Ensure proper documentation and audit trails for all technology implementationsRegulatory Reporting and Filings
Oversee all regulatory reporting requirements including :Transaction reporting (CAT, TRACE, MiFID II transaction reporting)Position reporting and large trades reportingRegulatory capital calculations and reportingManage regulatory examinations and inquiriesPrepare and file required regulatory documents and notificationsStakeholder Management
Serve as compliance point of contact for assigned business areas or projectsParticipate in regulatory examinations and inquiries related to your areas of responsibilityPresent project updates and compliance metrics to stakeholdersWhat 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 tradingDemonstrated experience in technology compliance and ICT implementation oversightTechnical Knowledge
Comprehensive knowledge of multi-jurisdictional regulationsStrong background in technology compliance, including :ICT governance and control frameworksAlgorithm development and testing requirementsSystem change management processesTechnology audit and compliance testingExperience with order types, market data, and execution venuesKnowledge of regulatory technical standards for electronic tradingSkills and Competencies
Proven ability to interpret complex regulations and apply them to HFT operationsStrong project management skills with experience leading complex, cross-functional initiativesExcellent analytical and problem-solving abilitiesOutstanding written and verbal communication skillsAbility to work both independently and collaboratively within a team environmentExperience managing multiple projects and priorities simultaneouslyStrong stakeholder management and influencing skillsNICE-TO-HAVE
Previous experience at a proprietary trading firm or HFT-focused organizationTechnical certifications (CISA, CISSP) or technology audit experienceExperience with DevOps compliance and continuous integration / deployment environmentsKnowledge of cloud infrastructure compliance requirementsProgramming skills (Python, SQL) for data analysis and surveillanceWhy You Should Join Our Team?
Great challenges with fast feedback loopsA welcoming group of highly qualified international professionalsCutting-edge hardware and technologyWork remotely from anywhere in the worldAccess any of our global offices anytimeFlexible schedule40 paid days offCompetitive salary