Senior Compliance Monitoring Officer
Are you looking for a team where you can make a real difference and contribute directly? Do you want to be surrounded by people who want to succeed in everything they do? Do you enjoy living life to the fullest, while working with people you can laugh and work hard with? Do you think that laws and regulations should be business enablers and stimulators? Do you feel energized when challenged to enter unchartered territories? Then you could be just the one we’re looking for!
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 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.
Our Amsterdam office is where it all began. Over 35 years ago, Optiver’s business started with a single trader on the floor of Amsterdam’s European Stock Exchange. Since our 1986 founding, Optiver’s Amsterdam office has grown into one of the most dynamic and exciting trading floors in Europe. Our culture reflects the Dutch capital city’s progressive, innovative and inclusive nature. With its unique spirit, Amsterdam is the ideal hub for our teams to trade a wide range of products from listed derivatives to cash equities, ETFs, bonds and foreign exchange.
WHAT YOU’LL DO:
We aim to hire smart people so they can tell us what best to do. Your job within the Compliance Department at Optiver Europe is what you will make of it, but your tasks and responsibilities will at least include:
Performing risk-based desk compliance reviews considering the different regulations, policies, controls and risk of each desk, in cooperation with the trading and sales advisory teams and the relevant trading team leads;
Performing theme-based target reviews, specially focusing on market abuse and including analysing large sets of market and trade data to detect and evaluate unwanted trading patterns, and assess potential risks with appropriate mitigation and follow-up;
Performing monitoring of compliance with the Anti-Money Laundering and Sanctions compliance program;
Perform reviews of regulatory processes such as the algorithm approval process and the new activity and product approval process;
Reviewing systems and controls related to trade and transaction reporting;
Assisting the trading and sales advisory team in the maintenance of and improvements to the internal control framework,
Writing up scoping documents for desk reviews and advising on remedial actions where needed and presenting them to senior management as required;
Tracking identified remedial actions, including actively following-up with the trading and Technology teams ;
Building a maintaining the desk review plan, as part of the broader monitoring and surveillance plan;
Leading team members in the participation of desk reviews, providing mentoring and technical guidance;
Identifying, in collaboration with the trading and sales advisory teams, risk themes and review areas based on the compliance risk assessment results and other internal and external inputs;Collaborating and steering the further development of the compliance monitoring and surveillance function globally;
Documenting and structuring the monitoring and surveillance plan and associated management reporting;
Contribute or lead inquiries from regulators and exchanges;
Assisting on the calibration and review of market abuse surveillance systems and the performance of the market abuse risk assessment;
Supporting and materially contributing to the team’s development, supporting the juniors and improve the integration of the team;
WHO YOU ARE:
- 8+ years of experience in compliance in global markets or investment banking, with 2+ years’ experience in compliance monitoring, including scoping, design and implementation of compliance monitoring activities;
- A keen interest in financial markets, trading and technology;
- Sound knowledge of MiFIR, MAR, SSR and EMIR/SFTR;
- A major plus would be solid knowledge on SEC/CFTC regulations, Reg SHO and FINRA rules;
- A major plus would be solid knowledge on AMLD/wwft;
- Experience working at or with exchanges and regulators would be a big plus;
- A strong affinity for technology and data handling;
- An analytical and investigative mind with a good eye for detail but never forgetting the bigger picture;
- A pro-active, assertive and results-driven attitude;
- Strong sense of integrity and the ability to balance business interests with the need to exercise independent judgment
- Master(s) in Finance, Economics, Law or other relevant academic studies;
- Excellent written and verbal communication skills in English are required and other languages are always welcome;
- Team player with sense of humour and a positive attitude in life.
WHAT YOU’LL GET:
- The chance to start your career working alongside best-in-class professionals from over 40 different countries.
Alongside this you will get great secondary benefits such as 25 paid vacation days, fully paid first-class commuting expenses, training opportunities, discounts on health insurance, breakfast and lunch facilities, sports and leisure activities, Friday afternoon drinks and even weekly in-house chair massages. Being highly international, we are accustomed to guiding expats through their relocation, offering competitive relocation packages and providing visa sponsorship where necessary.
HOW TO APPLY & LOCAL PRIVACY STATEMENT
Are you interested in furthering your career on one of the most dynamic and exciting trading floors in Europe?
Apply directly via the form below for the position of Senior Compliance Surveillance Officer. Please provide us with a CV and letter of motivation in English. Applications without a letter of motivation will not be reviewed. When we think there is a potential match, you will hear from us sooner than you expect. If you have any questions feel free to contact our Recruiter Lilian van Riel at [email protected]. Please note, we cannot accept applications via email for data protection reasons.
Please note, if you are selected from your application to proceed to the next round for the position of Senior Compliance Surveillance Officer, you may be required to take an online assessment.
Kindly note that we do not require any assistance from third-parties including agencies in the recruitment of this role.
As an intentionally flat organisation, we believe that great ideas and impact can come from everyone. We are passionate about empowering individuals and creating diverse teams that thrive. Every person at Optiver should feel included, valued and respected, because we believe our best work is done together.
Our commitment to diversity and inclusion is hardwired through every stage of our hiring process. We encourage applications from candidates from any and all backgrounds, and we welcome requests for reasonable adjustments during the process to ensure that you can best demonstrate your abilities.