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
