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 acting as the primary point of contact with FINRA and the SEC, managing regulatory enquiries, and leading firmwide preparation for regulatory examinations.
LSEG offers competitive compensation and benefits, including an Annual Incentive Plan, wellness allowance, paid time-off, medical, dental, vision, 401(K) with company match, and more.
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 (AIP); Benefits: Comprehensive benefits program including wellness, PTO, medical, 401(K) with match
Skills & Requirements
Must-have
FINRA Series 24 qualification
US securities laws expertise
Digital asset regulatory knowledge
FINRA and SEC liaison
Broker-dealer compliance program
Nice-to-have
Collaborative problem solver
Detail-oriented and pragmatic
Strong communication skills
Experience with DLT markets
Key Requirements
FINRA Series 24 license
Proven industry experience in securities markets compliance