Head of Core Compliance

Susquehanna International Group, LLP

3d • Onsite

About The Position

Susquehanna is seeking a Head of Core Compliance to lead the firm’s core regulatory compliance programs. This individual will be responsible for ensuring the firm meets its regulatory obligations while promoting a strong culture of compliance across the organization.
If you join us, you will:
Lead the Core Compliance function, with oversight to include employee related compliance (e.g., personal trading, conflicts of interest, OBAs), licensing, registration and employee trainings programs
Manage the Core compliance team
Oversee licensing and registration requirements, ensuring timely filings and ongoing compliance with applicable regulations
Develop, implement, and maintain compliance policies and procedures aligned with regulatory expectations (e.g., SEC, FINRA)
Provide guidance to business leaders and employees on compliance-related matters and regulatory requirements
Oversee employee disclosures, attestations, and related compliance processes
Collaborate closely with global compliance teams to ensure alignment on key initiatives and best practices
Conduct periodic reviews and monitoring to assess the effectiveness of compliance controls
Support regulatory exams, inquiries, and audits

Requirements

• 8–15+ years of compliance experience within financial services, ideally within a trading firm, broker-dealer, or asset manager
• Strong knowledge of regulatory requirements related to Core compliance program coverage areas
• Experience managing or overseeing compliance programs
• 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

Responsibilities

• Lead the Core Compliance function, with oversight to include employee related compliance (e.g., personal trading, conflicts of interest, OBAs), licensing, registration and employee trainings programs
• Manage the Core compliance team
• Oversee licensing and registration requirements, ensuring timely filings and ongoing compliance with applicable regulations
• Develop, implement, and maintain compliance policies and procedures aligned with regulatory expectations (e.g., SEC, FINRA)
• Provide guidance to business leaders and employees on compliance-related matters and regulatory requirements
• Oversee employee disclosures, attestations, and related compliance processes
• Collaborate closely with global compliance teams to ensure alignment on key initiatives and best practices
• Conduct periodic reviews and monitoring to assess the effectiveness of compliance controls
• Support regulatory exams, inquiries, and audits

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: No Education Listed