Senior Compliance Manager, Dsm Infrastructure (ftc)

London Stock Exchange Group (LSEG)

New York, United States
Base: $123,700 - $206,100; bonus/equity: eligible ...
On-site
Us broker dealer compliance
Finra and sec liaison
Digital asset regulatory requirements
The role will lead core compliance activity for DMI’s U.S. broker dealer programme and fulfil supervisory duties as a Series 24 qualified principal

Job Summary

  • The role will lead core compliance activity for DMI’s U.S. broker dealer programme and fulfil supervisory duties as a Series 24 qualified principal.
  • Key responsibilities include managing regulatory enquiries, leading regulatory filings, and supporting the design and implementation of the compliance programme for DMI’s U.S. broker dealer.
  • The company offers a competitive compensation package, including a base salary range of $123,700 - $206,100, eligibility for an Annual Incentive Plan, and a comprehensive benefits program.

Matching Summary

The role will lead core compliance activity for DMI’s U.S. broker dealer programme and fulfil supervisory duties as a Series 24 qualified principal.

Salary

Base: $123,700 - $206,100; Bonus/Equity: Eligible for Annual Incentive Plan; Benefits: Medical, Dental, Vision, 401(K) with match, Paid time-off, etc.

Skills & Requirements

Must-have

  • US broker dealer compliance
  • FINRA and SEC liaison
  • Digital asset regulatory requirements
  • Supervisory duties as Series 24 principal

Nice-to-have

  • Understanding of digital assets
  • Practical implementation of regulatory strategies
  • Collaborative work environment

Key Requirements

  • FINRA Series 24 license
  • Proven industry experience in securities markets compliance
  • Experience with US broker dealer and ATS regimes

Work Rights

Not specified

Tailored Resume

Cover Letter