Senior Compliance Officer - Equities

SIG Susquehanna; Pennsylvania; On-site; USD 90,000 - 140,000; Full time

Job summary

SIG Susquehanna is seeking a Senior Compliance Officer in Pennsylvania. This role involves providing regulatory guidance to the firm's equities trading and sales teams. Candidates must have 5–10+ years of compliance experience within equities markets, a strong knowledge of equities products, and the ability to communicate effectively across teams. The position emphasizes collaboration with stakeholders and ensures compliance with relevant regulations. Competitive qualifications include relevant licenses and excellent judgment.

Qualifications

• 5–10+ years of compliance experience within equities markets.
• Strong understanding of equities products and market structure.
• Working knowledge of relevant regulations and market conduct.

Responsibilities

• Collaborate with the business to enhance processes and support growth.
• Advise on regulatory considerations for business initiatives.
• Support regulatory change initiatives and control enhancements.
• Develop and maintain relationships with senior business stakeholders.

Skills

Compliance experience within equities markets

Strong understanding of equities products and market structure

Excellent communication skills

Ability to provide concise, practical advice

Job description

Overview

We are seeking a highly motivated individual to join our team as a Senior Compliance Officer. In this role, the individual will provide real-time regulatory guidance and 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. The successful candidate will partner closely with front‑office stakeholders, manage regulatory risk, support surveillance and control frameworks, and contribute to a strong culture of compliance.

In this role, you will:

• 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 within equities markets
• Strong understanding of equities products and market structure (e.g., cash equities, ETFs, options exposure, electronic/algorithmic trading)
• Working knowledge of relevant regulations, including:
  Exchange Act rules, SEC and FINRA regulations, Regulation NMS, Regulation SHO, Rule 10b-5, market abuse frameworks, and equity trading/reporting requirements.
• Excellent judgment, communication skills, and ability to provide concise, practical advice
• Experience interacting with traders and senior business stakeholders
• Relevant licenses (e.g., Series 7, 24) or willingness to obtain