Senior Compliance 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.

WHAT YOU'LL BE DOING:

Project Leadership and Delivery

• 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

Regulatory Compliance Management

• 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

Regulatory Reporting and Filings

• 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

Stakeholder Management

• 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

WHAT WE LOOK FOR IN YOU:

Education and Certifications

• 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

Skills and Competencies

• 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

NICE-TO-HAVE:

• 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

WHY YOU SHOULD JOIN OUR TEAM?

• Great challenges with fast feedback loops
• A welcoming group of highly qualified international professionals
• Cutting-edge hardware and technology
• Work remotely from anywhere in the world
• Access any of our global offices anytime
• Flexible schedule
• 40 paid days off
• Competitive salary

Originally posted on Himalayas