Compliance Analyst - Core Compliance

About the role

Overview Susquehanna is seeking a Compliance Analyst to support the firm’s core regulatory compliance program. This individual will be responsible for ensuring the firm meets its regulatory obligations while promoting a strong culture of compliance across the organization. This is a great fit for someone who thrives in a structured environment, takes ownership of detail-oriented processes, and understands the importance of confidentiality in a financial services setting.

Responsibilities

• Support the core compliance program including employee related compliance areas (e.g., personal trading, conflicts of interest, OBAs); licensing and registration; regulatory and trade reporting; marketing material review; AML; and global policy development
• Administer Susquehanna’s personal trading policy on a day-to-day basis
• Coordinate the firm’s and employee’s licensing and registration with various regulatory bodies
• Conduct periodic reviews and monitoring to assess the effectiveness of compliance controls
• Support regulatory exams, inquiries, and audits

Requirements

• 3 to 5 years of compliance experience within financial services, ideally within a trading firm, broker-dealer, or asset manager
• Visa sponsorship for work authorization is not available for this position now or in the future

Qualifications

• Experience with regulatory reporting including global beneficial ownership reporting and trade reporting
• Marketing or advertising review experience
• Familiarity with personal trading surveillance and conflicts management

Skills

• Strong communication skills and ability to work across business and control functions
• High level of integrity, attention to detail, and sound judgment
• Ability to respond to a fast changing environment and a willingness to think creatively