Compliance Officer - Marketing

SIG Susquehanna; New York (NY); On-site; USD 150,000 - 200,000; Full time

Job summary

Susquehanna seeks an experienced compliance professional focused on marketing compliance with broader regulatory responsibilities across the firm. The role partners with the marketing team to ensure materials meet global regulatory requirements and contributes to areas including AML, licensing, policies, and research review.

The ideal candidate has 6+ years in financial services compliance, strong knowledge of FINRA Rule 2210 and SEC advertising rules, and familiarity with international

Qualifications

• 6+ years of compliance experience at a broker-dealer, asset manager, or financial services firm with marketing/compliance focus.
• Strong knowledge of FINRA Rule 2210 and SEC advertising rules including Investment Adviser Marketing Rule.
• Familiarity with AML, licensing & registration, and employee compliance matters.

Responsibilities

• Review and approve marketing and social media content for regulatory compliance.
• Serve as the day-to-day compliance resource for the global marketing team, guiding campaigns and materials.
• Develop and maintain policies related to marketing, communications, and social media.
• Monitor regulatory developments across jurisdictions and advise on impact.
• Support core compliance functions including employee trading, AML, licensing, and inquiries.

Skills

Marketing compliance

Regulatory compliance

Social media compliance

Clear guidance to stakeholders

Organizational skills

Education

Bachelor's degree preferred

Job description

Overview

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.

What You’ll Do

• 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

What we're looking for

• 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 international marketing requirements across key jurisdictions such as the UK, EU, and APAC is a plus
• 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
• Visa sponsorship is not available for this position

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 vast datasets in order to uncover actionable insights and build effective strategies. By uniting deep market expertise with cutting-edge technology, we excel in solving complex problems and pushing boundaries together.

The annual base pay range for this role is $150,000 - $200,000 + discretionary bonus + benefits. Susquehanna considers factors such as scope and responsibilities of the position, work experience, education/training, key skills, as well as market and organizational considerations when extending an offer.

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