Senior Compliance Officer

Who we are:

Optiver is a tech-driven trading firm and leading global market maker. As one of the oldest market making institutions, we are a trusted partner of 70+ 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.

Optiver Chicago’s culture parallels the energetic city we’re immersed in. Home to the Chicago Board of Trade, Chicago Board Options Exchange, and Chicago Mercantile Exchange, Chicago has established itself as the trading capital of the US. Active on leading US exchanges, Optiver’s Chicago office trades a wide range of products from listed derivatives to cash equities, ETFs, bonds and foreign exchange.

What you’ll do:

Optiver is looking for an experienced Senior Compliance Officer with a strong understanding of listed options and futures trading to join our dynamic compliance department. As the Senior Compliance Officer, you will carry out a variety of responsibilities that supports the Firm’s U.S. based compliance efforts and trading businesses. The ideal candidate will be self-motivated and use an analytical skillset to support on-going compliance needs and initiatives within the team and firm. 

• 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.

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 
• Strong time management skills with an emphasis on follow-through
• Legal authorization to work in the U.S. is required.  We will not sponsor individuals for employment authorization for this job opening

What you’ll get:

• Work alongside best-in-class professionals from over 40 different countries.
• Performance based bonus structure that is unmatched anywhere in the industry. We combine our profits across desks, teams and offices into a global profit pool fostering a truly collaborative environment to work in.
• Ownership over initiatives that directly solve business problems.  

Alongside this you will get great other benefits such as 25 paid vacation days and market holidays, fully paid commuting expenses and health insurance, daily breakfast and lunch, training opportunities, 401(k) match up to 50% and charitable match opportunities, regular social events and clubs, and many more.