JOB DESCRIPTION

Regulatory Compliance Specialist
Location:Philadelphia Area

Overview

SIG has an opportunity for a Regulatory Compliance Specialist in our Bala Cynwyd headquarters. We have opened this brand new role within our team to undertake both regular and routine projects to help assure firm compliance with regulatory requirements, along with non-routine special projects to enhance the firm’s regulatory compliance. You will also support the analysis of and response to regulatory inquiries and will also gain exposure to a wide variety of issues across the organization. Through all of this, you will directly interface with trading, technology, operations and other SIG teams as well as external regulators, market participants, and others.

 

If you join us, you will be involved in a variety of projects including:

  • Undertaking a wide variety of projects to assure the compliance of the organization with applicable regulations, particularly marketplace rules (e.g., Reg NMS, Market Access)
  • Developing and implementing project plans individually as well as in coordination with others, including analyses of organization workflow and automation processes
  • Carrying out ongoing and periodic compliance initiatives
  • Assisting in data coordination relating to regulatory examinations and inquiries 

 

Who We Are
SIG is a global quantitative trading firm founded with an entrepreneurial mindset and a rigorous analytical approach to decision making. We commit our own capital to trade financial products around the world. Building virtually all of our own trading technology from scratch, we are leaders and innovators in high performance, low latency trading. We value decision making and asking questions, and we pride ourselves on the fact that working at SIG is more than just a job.


What we're looking for
  • Minimum of 8 years of experience as a compliance professional at either a broker-dealer or securities regulator, with a focus on trading and market issues
  • Knowledge of trading and market regulations required
  • Bachelor’s degree required
  • Familiarity with broker-dealer technology systems preferred
  • Proficiency in excel required; database experience, i.e. SQL, preferred

 

SIG is not accepting unsolicited resumes from search firms. All resumes submitted by search firms to any employee at SIG via-email, the Internet or directly without a valid written search agreement will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG.

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