Optiver is looking for a Compliance Analyst to improve its overall training program and manage its regulatory filing processes. This person will assist and report to the Compliance Manager and CCO for all compliance management. The ideal candidate will be self-motivated and use an analytical skillset to support ongoing 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.
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:
- Provide initial and ongoing compliance training to management and staff, including but not limited to preparing routine educational presentations
- Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal (Form BD, U4, U5)
- Facilitate rule interpretation, continuing education and best business practices through training and issuance of compliance memos
- Monitor the effectiveness of the compliance program with a view towards identifying areas for improving existing controls and procedures
- Actively engage in responding to regulatory inquiries, including gathering, analyzing, and documenting information
- Conduct reviews of employees’ outside brokerage accounts, outside business activities, and private securities transactions
- Monitor firm-wide communications
- Draft and update compliance written supervisory procedures
- Maintain accurate compliance records that allow the team to quickly address potential areas of concern
Who you are:
- Bachelor’s degree in related field
- Background in consulting, audit, or experience at a financial regulator, a plus
- Ability to communicate clearly, logically, and concisely both verbally and in writing with all audiences
- Excellent public speaking skills with a confident ability to offer clear takeaways in a structured manner
- Technical expertise in instructional design and delivery, especially via PowerPoint and other data visualization tools
- Experience delivering high-impact presentations that align with corporate branding
- Ability to manage and prioritize multiple ongoing projects in fast-paced, high-performing trading environment
- Excellent eye for detail with a high level of integrity
- Proactive approach to responding to stakeholder questions
- Solution-driven mindset for improving processes and procedures in a team environment
- Professional curiosity for learning about compliance regulations with respect to the SEC, FINRA, CME, and CFTC
- Willingness to cross train in all areas of compliance and establish strong working relationships with exchanges, regulators and vendors
- Strong time management skills with an emphasis on follow-through
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.