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Compliance Officer

 

An exciting opportunity now exists for a self-motivated, ambitious individual with 1-3 years’ experience to join the team as the organisation continues to grow.

 

WHO WE ARE:

Optiver is a leading global electronic market maker, trading in financial instruments for our own account. We provide liquidity to financial markets using our own capital, at our own risk, trading a wide range of products: listed derivatives, OTC’s, cash equities, ETFs, commodities and foreign currencies. Our mission statement is to “improve the market”. This mission guides us as we seek excellence in pricing, trade execution and risk management to grow sustainably.

Optiver operates in a highly regulated and complex industry, and interacts regularly with exchanges, regulators, intermediaries and other third parties in Hong Kong. The Compliance HK team is primarily in the Hong Kong office, and work closely with Compliance APAC team which has team members distributed across Optiver's regional offices in APAC such as Sydney, Taiwan, Singapore and China.   

We have ambitious growth plans in APAC and globally, expanding our physical presence into new locations and growing our workforce to cater for this.

 

WHAT YOU’LL DO:

Our core goal is to ensure the business operates in accordance with regulations, laws and market requirements that apply to Optiver's business, and within Optiver's risk appetite. Your responsibilities will include:

  • Review, analyse and communicate regulatory and industry updates that impact Optiver's business
  • Provide training
  • Coordinate meeting materials for Head of HK Compliance;
  • Provide support in dealing with regulators
  • Monitor, coordinate and submit regulatory and external filings, notices and submissions, accurately and on time
  • Manage internal approvals processes
  • Contribute to the provision of Compliance advice
  • Challenge the effectiveness of our Compliance controls and contribute to their improvement
  • Assist Compliance staff with reviewing and maintaining Optiver's policies and procedures
  • Trade and communications surveillance
  • Liaise and communicate with various teams including trading, technology and operations

 

WHO YOU ARE:

Motivation, drive and high potential is more important than content knowledge alone. We will support the right person to develop their awareness of our business, markets, and trading strategies. Depending on the level of experience, we see this role growing to be a key member of a high performing Compliance team. 

  • A relevant bachelor’s degree.
  • 2 years Compliance work experience
  • Exposure to Compliance or risk control framework enhancement 
  • Knowledge of HKEx rules and regulations as well as SFO, SFC codes and guidelines; Exposure to the China Stock Connect markets is a plus
  • Fluent in Cantonese and English; Proficiency in Putonghua is a plus
  • Structured and pragmatic approach to solving problems.

 

WHAT YOU’LL GET:

  • Strong control culture.  Compliance are truly a partner to the business.  We are decision makers.  We advise on key initiatives and opine on Compliance risk management.  
  • Collaboration and transparency are cornerstones of our culture.  We believe our best work is done by deeply understanding our trading and technology.  You will work with people across all departments who have a diverse set of experiences and skills. 
  • You will get a lot of responsibility and have the potential to deliver direct, strong impact.  You will be part of and supported by a Compliance A-team across APAC comprising world experts with experience in trading, law, regulator, exchange and investment banks. 
  • Support from a dedicated IT team who build first class tooling to support our operation.