Optiver is looking for an experienced Compliance Analyst with a strong understanding of 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 a 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
- 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 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
- Provide regulatory advice on new business initiatives.
What you’ll need:
- Bachelor’s degree required, a Law degree is a plus
- 3-5 years of experience in a compliance function
- Series 57 and 24 preferred, or willing to take within first 6 months of hire
- Ability to manage and prioritize multiple on-going projects in fast paced, high performing trading environment
- Excellent eye for detail
- Demonstrate a 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
Who we are:
Optiver is a leading proprietary trading firm using technology to provide the most up-to-date and competitive prices in financial products around the world. Put simply, we improve the markets. Achieving this requires excellence in everything we do. That’s not merely an aspiration, but our reason for being.
We’re seeking people who up the ante with nerve, with guts and, most importantly, with heart. We’re looking for the bold. Does that describe you? Then opt in.