About the Position

We are seeking an Employee Compliance Manager to oversee and improve the day-to-day operations of part of our Employee Compliance team in New York.

The right person for this role will be process-driven, collaborative, and comfortable managing experienced professionals with deep subject matter expertise. You should enjoy thinking about how systems fit together across a range of employee compliance areas, have a strong bias for documentation and clarity, and be energized by the challenge of updating processes and implementing new tools or vendors where needed. Responsibilities of this role will include:

Managing the Registrations and Personal Account trading teams within our larger Employee Compliance team, providing daily oversight and guidance, and serving as the first point of escalation for team questions
Identifying areas where we can evolve and improve our current processes, including around vendor and system upgrades
Overseeing the full lifecycle of employee registration and regulatory filings, including Form U4/U5, onboarding exchange forms, fingerprinting, background checks, and disclosure updates
Ensuring timely and accurate completion of regulatory requirements and responses to internal and external inquiries, including maintaining supervisory reporting lines and organizational trees
Collaborating closely with compliance leadership to bridge gaps and ensure consistent standards across teams
Coordinating with external vendors to smoothly implement new systems or processes
Keeping up with regulatory developments and proactively adapting team practices as needed

About You

Have 10+ years of relevant professional experience in compliance, managing employee compliance functions in a financial services environment is required
Experienced with managing people, including leading teams with diverse backgrounds and experience levels
Highly organized, process-oriented, and motivated by continuous improvement and documentation
Collaborative and adaptable, able to work effectively with a range of personalities and management styles
Excellent communicator; able to explain complex processes clearly and respond to questions from colleagues at all levels
Proven able to manage multiple priorities, adapt to change, and solve process challenges with creativity and pragmatism
Professional, trustworthy, and able to exercise sound judgment with sensitive information
Familiarity with registration systems and vendors (e.g., ComplySci) is a plus, but not required

If you're a recruiting agency and want to partner with us, please reach out to agency-partnerships@janestreet.com.