Compliance Manager

We are currently seeking a Compliance Manager with proven experience in overseeing compliance frameworks, managing regulatory engagements and handling AML/CTF matters for our China trading operations, Susquehanna (Shanghai) Trading Company (SSTC).

From our Shanghai office, this role will take the lead in managing local compliance matters, as well as working collaboratively with colleagues in our Sydney, Hong Kong and India offices.
Reporting to the Head of Compliance, APAC, the Compliance Manager will partner with key stakeholders and support strategic business initiatives related to Susquehanna's China trading operations.

You will:

• Develop and oversee systems to ensure compliance with regulations, governance, risk and compliance programs and internal policies across China trading
• Develop strong relationships with regulators, brokers and exchanges in China to stay abreast of new regulatory developments and industry best practices in compliance
• Develop strong relationships with corporate counsel (internal and external) and all parts of the business to monitor compliance with relevant standards and regulations
• Partner with key stakeholders to assess business strategies and identify compliance risks and controls
• Lead efforts in the generation of presentations, training and communications, and statutory reporting requirements
• Provide guidance to the IT department on the development and testing of IT systems and controls
• Develop and maintain regulatory programs, compliance manuals, policies, and procedures, as well as their effective implementation.
• Interact with Susquehanna compliance colleagues in Asia, the EU & US for cross border compliance projects.

Compliance Knowledge

• Knowledge of major regulatory developments & topical compliance issues across Asia.
• Chinese Qualified Foreign Institutional Investor (QFII) program
• Chinese corporation law & securities/derivative market laws.
• Chinese commodity/securities/derivatives market regulations including operating rules & procedures
• Chinese clearing house margin, clearing & settlement rules & procedures.
• Chinese privacy law and data security law.

Applicant Requirements

• 10+ years of experience in regulatory compliance, equity & derivative market experience/exposure preferred.
• Professional &/or industry qualifications preferred.
• Ability to provide presentations & training to colleagues as required.
• Ability to draft & review compliance, risk & IT policy & procedures.
• IT compliance system – compliance development/reviews/testing documentation.
• Previous experience working for a major PRC exchange would be highly regarded.

Personal Skills

• Excel at building collaborative partnerships with stakeholders
• Strong ability to interpret regulations and legislations
• Excellent oral, written, and interpersonal communication skills with the ability to communicate complex information to all levels in both English and Mandarin
• Exhibit a strong solution focused approach which leads to timely resolutions
• Work autonomously and as a member of wider APAC team.

What's in it for you

• Our flat hierarchy enables you to drive meaningful impact, by leveraging your expertise and taking ownership.
• Global exposure, in one of the largest international proprietary trading firms
• Further your learning and career development with our Education Assistance program.
• A lunch allowance stipend for each day you are in the office
• Matched donations and corporate discounts.

About Susquehanna

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.

What we do 

Susquehanna's deep integration of trading, technology and quant research makes us experts in trading essentially all listed financial products and asset classes, with a focus on derivatives. We handle millions of trading transactions around the world every day as both a market maker and market taker. Our efforts provide liquidity and ensure competitive prices for buyers and sellers. While our presence in the market is broad, our trading desks are highly specialized to allow for a deep understanding of the unique drivers of each asset class.

Equal Opportunity Statement

We encourage applications from candidates from all backgrounds, and we welcome requests for reasonable adjustments during the recruitment process to ensure that you can best demonstrate your abilities.

If you're a recruiting agency and want to partner with us, please reach out to Any resume or referral submitted in the absence of a signed agreement will not be eligible for an agency fee.

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