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Compliance Analyst

Optiver is looking for an experienced Compliance Analyst with a strong understanding of options and 
futures. This person will assist and report to the Compliance Manager 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 

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 
  • Legal authorization to work in the U.S. is required; we will not sponsor individuals for 
    employment authorization for this job opening

Who we are:

Optiver is a proprietary trading firm and leading global market maker. As one of the oldest 
market making institutions, we are a trusted partner of 50+ exchanges across the globe. Our 
mission is to constantly improve the market by injecting liquidity, providing accurate pricing, 
increasing transparency and acting as a stabilising force no matter the market conditions. With a 
focus on continuous improvement, we participate in the safeguarding of healthy and efficient 
markets for everyone who participates.