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Compliance Analyst

Who we are:

Optiver is a proprietary global market maker, trading on major financial markets around the world. We opened our first office in Amsterdam and now have locations in Chicago, Shanghai, and Sydney. We employ over 900 highly educated professionals worldwide who are continuously improving the way we work and striving for excellence in everything we do. Being good is not good enough, and it is every employee’s responsibility to make our company better. Founded in 1986, Optiver has been profitable every year of its existence.

 

What we are looking for:

Optiver is looking for an experienced Compliance Analyst with a strong understanding of options and futures. This person will assist and report to the CCO for all compliance management. The ideal candidate will be self-motivated and use an analytical skillset to support on-going compliance needs and initiatives within the team. As a Compliance Analyst, you will work closely with regulators that may include the SEC, FINRA, CME, CFTC, and self-regulatory organizations.

What you’ll do:

  • Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal (Form BD, U4, U5)
  • Assist in the preparation of other regulatory filings, including responses to inquiries
  • Provide initial and ongoing compliance training to management and staff, including but not limited to preparing routine educational presentations
  • Facilitate rule interpretation, continuing education and best business practices through training and issuance of compliance memos
  • Draft and update compliance written supervisory procedures
  • Review and clarify proposed industry rules for applicability
  • Conduct reviews of employees’ outside brokerage accounts and outside business activities
  • Monitor firm-wide communications
  • Maintain accurate compliance records that allow the team to quickly address potential areas of concern

 

 What you’ll need:

  • Bachelor’s degree in related field
  • Minimum of two years’ experience in a Compliance function
  • Understanding of electronic trading, with a focus in options and futures, preferred
  • Ability to manage and prioritize multiple on-going projects in fast paced, high performing trading environment
  • Excellent eye for detail
  • Demonstrate a high level of integrity
  • Proactive approach to field internal questions and future regulations
  • Ability to operate effectively in a team environment 
  • Knowledge of compliance regulation with respect to the SEC, FINRA, CME, and CFTC, preferred    
  • Willingness to cross train in all areas of compliance and establish strong working relationships with exchanges, regulators and vendors
  • Excellent verbal and written communication skills
  • Strong time management skills with an emphasis on follow-through
  • Experience with Schwab Compliance Technologies, Global Relay and FINRA Web CRD preferred