The Senior Compliance Manager 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 Senior Compliance Manager will lead core compliance activity for DMI’s U.S. broker dealer programme and fulfil supervisory duties as a Series 24 qualified principal.
The role involves primary liaison with US regulators (SEC and FINRA), managing regulatory enquiries and leading firmwide preparation for regulatory examinations.
LSEG is committed to offering competitive Compensation and Benefits, including a base salary range of $123,700 - $206,100, eligibility for an Annual Incentive Plan, and a comprehensive benefits program.
Matching Summary
The Senior Compliance Manager 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: Comprehensive LSEG Benefits program
Skills & Requirements
Must-have
US securities laws expertise
Digital asset regulatory knowledge
FINRA and SEC liaison
Broker dealer compliance program
FINRA NMA process participation
Nice-to-have
Collaborative problem solver
Detail-oriented and pragmatic
Excellent communication skills
Experience with digital assets desirable
Key Requirements
FINRA Series 24 license required
Proven industry experience in securities compliance