Compliance Officer - Equities

Overview:

Trading Compliance ensures the firm's trading activity is effectively supported through close engagement with the front office, the delivery of timely and informed regulatory advice, and the maintenance of high standards of market integrity.

 

This role sits within the U.S. Trading Compliance team, which collaborates closely with Trading Compliance teams globally to ensure a consistent approach to advice, controls, and issue management. The successful candidate will also contribute to firm-wide initiatives alongside their regional responsibilities.

 

Working in close partnership with trading desks, front-office stakeholders and business management, the successful candidate will provide real-time regulatory guidance and compliance oversight to the firm’s equities trading and sales teams. The role ensures that business activities across the equities product spectrum comply with relevant regulatory requirements and internal policies. The position requires strong product knowledge, excellent communication skills, and the ability to translate regulatory expectations into practical and relevant guidance.

 

Key Responsibilities:

• Develop and maintain an in-depth understanding of the firm's trading strategies, algorithms, products, and market microstructure to provide risk-based compliance support.
• Act as a trusted day-to-day compliance contact across functions to provide clear, practical advice on regulatory and conduct matters.
• Collaborate with the business to enhance processes, drive efficiencies, and support strategic growth initiatives.
• Advise on regulatory considerations for new business initiatives, algorithmic trading, complex transactions, and desk-level enhancements.
• Support new system and platform implementations, regulatory change initiatives, and control enhancements.
• Prepare documentary support, coordinate with internal groups, and help draft responses to regulatory inquiries and requests for information.
• Develop and maintain relationships with senior business stakeholders.
• Provide day-to-day guidance on regulatory questions, trading rules, market conduct, and policy interpretation.
• Identify emerging risks related to market structure, regulatory change, or product development.
• Work closely with other members of the trading compliance team in the US and globally, ensuring coordination and collaboration.

What we’re looking for:

• 5–10+ years of compliance experience in a compliance officer (or similar trading advisory role) within sales and trading focused on equities markets.
• Strong understanding of equities products and market structure (e.g., cash equities, ETFs, options, electronic/algorithmic trading).
• Working knowledge of relevant regulations, including:
  Exchange Act rules, SEC and FINRA regulations, Regulation NMS, Regulation SHO, Rule 10b-5, exchange rules, market abuse frameworks, and equity trading/reporting requirements.

Other Key Attributes:

 

• Excellent judgment, self-sufficient and organized with clear communication skills, and ability to provide concise, practical advice.
• Experience interacting with traders, senior business stakeholders, and technologists in a fast-paced environment.
• Adept at understanding complex trading strategies along with corresponding systems and workflows.
• Experience interacting with regulators, including FINRA and exchanges, as part of oral and written communications.
• Collaborative attitude with a focus on building relationships, while maintaining a high degree of autonomy to manage competing priorities.
• Relevant licenses (e.g., Series 7, 24) or willingness to obtain.

About Susquehanna:

Susquehanna is a global quantitative trading firm powered by scientific rigor, curiosity, and innovation. Our culture is intellectually driven and highly collaborative, bringing together researchers, engineers, and traders to design and deploy impactful strategies in our systematic trading environment. To meet the unique challenges of global markets, Susquehanna applies machine learning and advanced quantitative research to uncover actionable insights and develop effective trading strategies. By uniting deep market expertise with cutting-edge technology, we excel in solving complex problems and pushing boundaries together.

 

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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