OverviewSusquehanna is seeking a Compliance Analyst to support the firm’s core regulatory compliance program. This individual will be responsible for ensuring the firm meets its regulatory obligations while promoting a strong culture of compliance across the organization. This is a great fit for someone who thrives in a structured environment, takes ownership of detail-oriented processes, and understands the importance of confidentiality in a financial services setting.
If you join us, you will
- Support the core compliance program including employee related compliance areas (e.g., personal trading, conflicts of interest, OBAs); licensing and registration; regulatory and trade reporting; marketing material review; AML; and global policy development
- Administer Susquehanna’s personal trading policy on a day-to-day basis
- Coordinate the firm’s and employee’s licensing and registration with various regulatory bodies
- Conduct periodic reviews and monitoring to assess the effectiveness of compliance controls
- Support regulatory exams, inquiries, and audits
What we’re looking for
- 3 to 5 years of compliance experience within financial services, ideally within a trading firm, broker-dealer, or asset manager
- Experience with regulatory reporting including global beneficial ownership reporting and trade reporting
- Marketing or advertising review experience
- 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
- Ability to respond to a fast changing environment and a willingness to think creatively
- 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.
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