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
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 - 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.
