Compliance Analyst

| Chicago

Title: Compliance Analyst 
Location: Chicago

Who we are:
Optiver’s story began over 30 years ago, when we started business as a single trader on the floor of Amsterdam’s options exchange. Today, we are at the forefront of trading and technology as a leading global electronic market maker, focused on pricing, execution and risk management. With over 1,000 employees globally and 200 in our Chicago office, our mission to improve the market unites us.

What we are looking for:
Optiver is currently looking for an experienced Compliance Analyst with a strong understanding of stocks, options and futures. This person will assist and report to the CCO for all compliance management. The ideal candidate will be self-motivated and use an analytical skill set to support on-going compliance needs and initiatives within the team. As Compliance Analyst, you will work closely with regulatory inquiries that may include the SEC, FINRA, CME, CFTC, and self-regulatory organizations.

What you’ll do:
•   Coordinate and prepare responses to formal investigations and other regulatory inquiries from various exchanges and FINRA
•   Manage and coordinate regulatory exams and audits
•   Develop, refine and implement internally designed exception reports
•   Monitor and assess the firm’s trade activity through an internal 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
•   Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal
•   Monitor firm-wide communications
•   Liaise and communicate with various teams including trading, technology and operations

What you’ll need:
•   Bachelor’s degree required 
•   Law degree preferred
•   3-5 years experience in a compliance function
•   Series 56/57 and 24 preferred
•   Ability to manage and prioritize multiple on-going projects in fast paced, high performing trading environment
•   Excellent eye for detail
•   Demonstrate high level of integrity
•   Proactive approach to field internal questions and future regulations
•   Ability to operate effectively in a team environment 
•   Understanding of electronic trading, with a focus in options and futures, preferred
•   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
•   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:
25 days paid vacation, attractive bonus structure; training opportunities; generous 401K company match; fully paid health insurance premiums; paid commuting expenses up to the maximum allowable amount; breakfast, lunch, snacks and beverages provided daily; weekly in-house chair massages; casual dress; game room and more!

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Technology we use

  • Engineering
    • C#Languages
    • C++Languages
    • JavaLanguages
    • PythonLanguages


130 E. Randolph Street, Chicago, IL 60601
130 E. Randolph Street, Chicago, IL 60601

What are Optiver Perks + Benefits

Health Insurance & Wellness Benefits
Dental Benefits
Vision Benefits
Health Insurance Benefits
Retirement & Stock Options Benefits
401(K) Matching
Vacation & Time Off Benefits
Generous PTO
Paid Volunteer Time
Perks & Discounts
Beer on Tap
Casual Dress
Commuter Benefits
Company Outings
Daily Meals Provided
Game Room
Stocked Kitchen
Happy Hours

Additional Perks + Benefits

Fully paid health insurance premiums for employees • Generous 401(k) Plan • 25 days of paid vacation • Free catered breakfast and lunch daily • Weekly in-house chair massages • Complimentary in-house barista

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