Senior Compliance Officer presso Optiver

Optiver is looking for an experienced Senior Compliance Officer with a strong understanding of listed equities, options, and futures trading to join our dynamic compliance department. In this role, you will be aligned to a designated coverage area and act as the primary point of contact for that business on all compliance-related matters. You will be responsible for providing clear, practical, and risk-based advice and guidance to ensure the business operates within regulatory requirements while supporting commercial objectives. The ideal candidate will be self-motivated, with strong analytical skills, and will thrive on building trusted relationships that enable the delivery of high-quality compliance support across the firm. 

What you’ll do

As a Senior Compliance Officer, your key responsibilities include:

• 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
• Draft and update compliance written supervisory procedures
• Develop, refine and implement internally designed exception reports
• Monitor and assess the firm’s trade activity through an internal surveillance system whose reports cover areas such as market maker obligations and market manipulation
• Review and clarify proposed industry rules for applicability
• Facilitate rule interpretation, continuing education and best business practices through training and issuance of compliance memos
• Liaise and communicate with various teams including trading, technology and operations
• Provide regulatory advice on new business initiatives.

What you’ll get

• The opportunity to work alongside best-in-class professionals from over 40 different countries

• Highly competitive compensation package including performance-based bonus structure
• 401(k) match up to 50%
• Comprehensive health, mental, dental, vision, disability, and life coverage
• 25 paid vacation days alongside market holidays
• Extensive office perks, including breakfast, lunch and snacks, regular social events, clubs, sporting leagues and more

Who you are

• Bachelor’s degree required, a Law degree is a plus
• At least 8 years of experience in a compliance function that directly supports a professional trading business
• Series 57 and 24 preferred
• Ability to manage and prioritize multiple on-going projects in fast paced, high performing trading environment
• Ability to regularly assess the efficiency of control systems and recommend effective improvements
• Demonstrate a high level of integrity
• Proactive approach to help identify regulatory risk for the Firm
• Ability to operate effectively in a team environment 
• Strong understanding of electronic trading, with a focus on listed options and futures
• Extensive knowledge of SEC, FINRA, CFTC and SRO rules and regulations
• Establish strong working relationships with exchanges, regulators and vendors
• Exceptional verbal and written communication skills 

Who we are

At Optiver, our mission is to improve the market by injecting liquidity, providing accurate pricing, increasing transparency and stabilising the market no matter the conditions. With a focus on continuous improvement, we prioritise safeguarding the health and efficiency of the markets for all participants. As one of the largest market making institutions, we are a respected partner on 100+ exchanges across the globe.

Our differences are our edge. Optiver does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, physical or mental disability, or other legally protected characteristics.