Senior Compliance Manager

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July 18

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Eqvilent

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Finance • Fintech

Eqvilent is a quantitative trading powerhouse that provides liquidity on financial markets utilizing cutting-edge technologies. The company is focused on revolutionizing trading processes and enhancing financial operations through advanced technological innovations.

51 - 200 employees

💸 Finance

💳 Fintech

📋 Description

• The Senior Compliance Manager will lead critical compliance projects and initiatives within our compliance framework. • This role requires deep expertise in both financial markets regulation and technology compliance, 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. • Lead major compliance projects such as: • ICT implementation reviews and compliance sign-offs • 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. • 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. • Lead compliance oversight of ICT implementations and technology projects. • Review and approve technology changes from a compliance perspective. • Monitor compliance with regulatory technical standards (e.g., MiFID II RTS 6 algorithmic trading requirements). • Collaborate with technology teams to embed compliance controls in system architecture. • Oversee compliance aspects of system development lifecycle (SDLC). • Ensure proper documentation and audit trails for all technology implementations. • 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. • 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.

🎯 Requirements

• Bachelor's degree in Finance, Law, Economics, Computer Science, 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 • Demonstrated experience in technology compliance and ICT implementation oversight • Comprehensive knowledge of multi-jurisdictional regulations • Strong background in technology compliance, including: • ICT governance and control frameworks • Algorithm development and testing requirements • System change management processes • Technology audit and compliance testing • Experience with order types, market data, and execution venues • Knowledge of regulatory technical standards for electronic trading • 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 • Previous experience at a proprietary trading firm or HFT-focused organization • Technical certifications (CISA, CISSP) or technology audit experience • Experience with DevOps compliance and continuous integration/deployment environments • Knowledge of cloud infrastructure compliance requirements • Programming skills (Python, SQL) for data analysis and surveillance

🏖️ Benefits

• 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