Full-Time

Senior Compliance Officer

Posted on 5/31/2024

Optiver

Optiver

1,001-5,000 employees

Global electronic market maker in financial products

Quantitative Finance
Financial Services
Data & Analytics

Senior

Chicago, IL, USA

Required Skills
Communications
Requirements
  • Bachelor’s degree required; a law degree is a plus.
  • At least 7 years of experience in a compliance function that directly supports a professional automated trading business.
  • Experience providing compliance advice to trading desks, quantitative research teams, developers, and trading operations personnel under pressure and time constraints.
  • Strong understanding of U.S. options, equities, and futures market structures.
  • Familiarity with low latency trading systems, strategies, techniques, and concepts.
  • Strong understanding of U.S. regulations and exchange rules applicable to market makers, with a keen ability to translate rule knowledge into practical guidance, policies, and procedures.
  • Ability to manage and prioritize multiple ongoing projects in a fast-paced, high-performing trading environment.
  • Ability to regularly assess the efficiency of control systems and recommend effective improvements.
  • Demonstrates a high level of technical aptitude and integrity.
  • Ability to operate effectively in a team environment.
  • Exceptional verbal and written communication skills.
  • Strong time management skills with an emphasis on follow-through.
  • Legal authorization to work in the U.S. is required. We will not sponsor individuals for employment authorization for this job opening.
  • Series 57 preferred.
Responsibilities
  • Provide first-line trading compliance advisory support to the firm’s automated trading and market-making operations.
  • Partner with quantitative researchers, trading system developers, traders, and trading operations teams to provide real-time and strategic compliance guidance and support.
  • Coordinate and prepare responses to formal investigations and other regulatory inquiries from various exchanges and FINRA.
  • Assist with the management and coordination of regulatory exams and audits.
  • Identify areas of compliance and regulatory risk, and draft or update compliance written supervisory procedures to address areas of risk.
  • Develop, refine, and implement internally designed exception reports.
  • Review and clarify proposed industry rules for applicability.
  • Facilitate rule interpretation, continuing education, and best business practices through training and issuance of compliance memos.
  • Provide regulatory advice on new business initiatives.

Optiver is a global electronic market maker that utilizes its own best-in-class trading systems and infrastructure to provide liquidity for listed derivatives, cash equities, ETFs, bonds, and foreign currencies, ensuring market efficiency, transparency, and stability. The main technologies/methods used include electronic trading systems and infrastructure to provide liquidity for a wide range of financial products.

Company Stage

N/A

Total Funding

N/A

Headquarters

Amsterdam, Netherlands

Founded

1986

Growth & Insights
Headcount

6 month growth

4%

1 year growth

15%

2 year growth

36%

Benefits

Transparent bonus structure

Top tier benefits

Generous vacation time

Health and wellness programs