Compliance Officer - Marketing

Susquehanna International Group, LLP•New York, NY

4d•$150,000 - $200,000•Onsite

About The Position

Susquehanna is looking for an experienced Compliance professional to join our team with a primary focus on marketing compliance while also supporting broader core compliance functions across the firm. This individual will partner closely with the marketing team to review and approve marketing materials ensuring they meet applicable global regulatory requirements, while also contributing to areas including but not limited to employee personal trading, AML, licensing and registration, policies and procedures, and other compliance matters. This individual may also be involved with the review of research analyst reports that are published by our institutional sales arm.

Requirements

6 or more years of compliance experience at a broker dealer, asset manager, or financial services firm with a focus on marketing compliance and broader regulatory compliance functions
Strong working knowledge of FINRA Rule 2210, SEC advertising rules including the Investment Adviser Marketing Rule, and social media compliance requirements
Familiarity with AML, licensing and registration, and employee compliance matters
Strong communication skills and ability to provide clear practical guidance to non-compliance stakeholders
Highly organized with the ability to manage a high volume of review requests and competing priorities
Bachelor's degree preferred

Nice To Haves

Familiarity with international marketing requirements across key jurisdictions such as the UK, EU, and APAC is a plus

Responsibilities

Review, approve, and maintain records of marketing and social media content in accordance with applicable global regulatory requirements
Serve as the day to day compliance resource for the global marketing team, providing practical guidance on regulatory considerations for new campaigns, materials, and social media initiatives
Develop and maintain policies and procedures related to marketing, communications, and social media
Monitor regulatory developments across jurisdictions and assess the impact on the firm's marketing and social media activities globally
Partner with Compliance and Marketing colleagues across regions to ensure consistent application of marketing standards internationally
Support broader core compliance functions including employee personal trading, AML, licensing and registration, and other compliance matters
Assist with regulatory examinations and inquiries related to marketing, communications, and other compliance areas
Review research analyst reports to ensure compliance with applicable regulatory requirements and internal policies