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About the Role

Susquehanna seeks an experienced Compliance professional to focus on marketing compliance and support broader core compliance functions. This role involves partnering with the marketing team to ensure regulatory adherence for marketing materials and contributing to areas like employee trading, AML, and licensing.

Responsibilities

• Review, approve, and maintain records of marketing and social media content in accordance with applicable global regulatory requirements.
• Serve as the day-to-day compliance resource for the global marketing team, providing practical guidance on regulatory considerations for new campaigns, materials, and social media initiatives.
• Develop and maintain policies and procedures related to marketing, communications, and social media.
• Monitor regulatory developments across jurisdictions and assess the impact on the firm's marketing and social media activities globally.
• Partner with Compliance and Marketing colleagues across regions to ensure consistent application of marketing standards internationally.
• Support broader core compliance functions including employee personal trading, AML, licensing and registration, and other compliance matters.
• Assist with regulatory examinations and inquiries related to marketing, communications, and other compliance areas.
• Review research analyst reports to ensure compliance with applicable regulatory requirements and internal policies.

Requirements

• 6 or more years of compliance experience at a broker dealer, asset manager, or financial services firm with a focus on marketing compliance and broader regulatory compliance functions.
• Strong working knowledge of FINRA Rule 2210, SEC advertising rules including the Investment Adviser Marketing Rule, and social media compliance requirements.
• Familiarity with international marketing requirements across key jurisdictions such as the UK, EU, and APAC is a plus.
• Familiarity with AML, licensing and registration, and employee compliance matters.
• Strong communication skills and ability to provide clear practical guidance to non-compliance stakeholders.
• Highly organized with the ability to manage a high volume of review requests and competing priorities.
• Visa sponsorship is not available for this position.

Skills

• Marketing compliance
• Regulatory compliance
• FINRA Rule 2210
• SEC advertising rules
• Investment Adviser Marketing Rule
• Social media compliance
• AML
• Licensing and registration
• Employee compliance
• Communication skills
• Organization skills

Location

• Onsite

Work Type

• Full-time

Experience Level

• 6+ years

Education Level

• Bachelor's degree preferred

Salary/Compensations

• $150,000 - $200,000

Benefits

• Discretionary bonus
• Benefits

About the Company

• Susquehanna is a global quantitative trading firm powered by scientific rigor, curiosity, and innovation.
• Our culture is intellectually driven and highly collaborative, bringing together researchers, engineers, and traders to design and deploy impactful strategies in our systematic trading environment.
• To meet the unique challenges of global markets, Susquehanna applies machine learning and advanced quantitative research to vast datasets in order to uncover actionable insights and build effective strategies.
• By uniting deep market expertise with cutting-edge technology, we excel in solving complex problems and pushing boundaries together.