Head of Core Compliance

Job description

Overview Susquehanna is seeking a Head of Core Compliance to lead the firm’s core regulatory compliance programs. This individual will be responsible for ensuring the firm meets its regulatory obligations while promoting a strong culture of compliance across the organization. If you join us, you will: - Lead the Core Compliance function, with oversight to include employee related compliance (e.g., personal trading, conflicts of interest, OBAs), licensing, registration and employee trainings programs - Manage the Core compliance team - Oversee licensing and registration requirements, ensuring timely filings and ongoing compliance with applicable regulations - Develop, implement, and maintain compliance policies and procedures aligned with regulatory expectations (e.g., SEC, FINRA) - Provide guidance to business leaders and employees on compliance-related matters and regulatory requirements - Oversee employee disclosures, attestations, and related compliance processes - Collaborate closely with global compliance teams to ensure alignment on key initiatives and best practices - Conduct periodic reviews and monitoring to assess the effectiveness of compliance controls - Support regulat...