Eqvilentjobs7d ago

Senior Compliance Manager

RemoteRemotesenior

LegalCompliance Manager

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Quick Summary

Key Responsibilities

Project Leadership and Delivery Lead major compliance projects such as: Implementation of new regulatory

Requirements Summary

Specific geographic reg

Technical Tools

LegalCompliance Manager

The Senior Compliance Manager will lead critical compliance projects and initiatives within our compliance framework. This role requires deep expertise in financial markets regulations, 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.

Responsibilities

~1 min read

Lead major compliance projects such as:
- 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

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 rules
- Europe: MiFID II/MiFIR, MAR, EMIR
- Asia: Jurisdiction-specific regulations in Singapore (MAS), Japan (HST), and other relevant markets

Oversee all regulatory reporting requirements including:

Transaction reporting (CAT, TRACE, MiFID II transaction reporting)
Position reporting and large trades reporting
Regulatory capital calculations and reporting

Manage regulatory examinations and inquiries
Prepare and file required regulatory documents and notifications

Serve as compliance point of contact for assigned business areas or projects
Participate in regulatory examinations and inquiries related to your areas of responsibility
Present project updates and compliance metrics to stakeholders

Bachelor's degree in Finance, Law, Economics, 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 trading

Proven ability to interpret complex regulations and apply them to HFT operations
Strong project management skills with experience leading complex, cross-functional initiatives
Excellent analytical and problem-solving abilities
Outstanding written and verbal communication skills
Ability to work both independently and collaboratively within a team environment
Experience managing multiple projects and priorities simultaneously
Strong stakeholder management and influencing skills

Previous experience at a proprietary trading firm or HFT-focused organization
An understanding of trading strategies and their regulatory implications
Experience with regulatory bodies and participating in industry groups or forums
Experience with regulatory reporting and compliance tools specific to the trading industry
Demonstrated leadership in regulatory change projects