Employee Compliance Manager

We are seeking an Employee Compliance Manager to oversee and modernize the day-to-day operations of part of our Employee Compliance team in New York. You will manage a team of compliance professionals who cover a range of employee compliance areas and provide hands-on leadership, drive documentation and process improvements, and help the team adapt as our business and regulatory landscapes evolve. 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, have a strong bias for documentation and clarity, and be energized by the challenge of modernizing 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 oversight, guidance, and support on day-to-day operations Identifying areas for improvement within current processes and driving modernization initiatives, 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 Serving as the first point of escalation for team questions Collaborating closely with compliance leadership to bridge gaps and ensure consistent standards across teams Coordinating with external vendors to ensure smooth implementation of new systems or processes Staying abreast of developments in the regulatory landscape and proactively adapting team practices as needed About You

Have relevant professional experience in compliance, preferably direct experience managing employee compliance functions in a financial services environment 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 (such as 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

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