Compliance Manager at Optiver

| Chicago
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What we are looking for:

Optiver is looking for an experienced Compliance Manager with a strong understanding of options and futures to join our dynamic compliance department. This person will perform a range of duties and will assist and report to the CCO for all compliance management. As the Compliance Manager, you will manage the day-to-day operations of the Compliance Department and a team of talented compliance professionals. 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. 

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 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
  • Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal
  • Monitor firm-wide communications
  • Effectively lead, support, and develop direct reports
  • 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
  • At least 10 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
  • 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 
  • Understanding of electronic trading, with a focus in options and futures
  • Extensive knowledge of SEC, FINRA, CFTC and SRO rules and regulations
  • Willingness to cross train team in all areas of compliance
  • 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

Who we are:

Optiver is a proprietary 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 stabilizing 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.

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Technology we use

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


130 E. Randolph Street, Chicago, IL 60601

An Insider's view of Optiver

How do you collaborate with other teams in the company?

One of my favorite aspects of Optiver is the openness of our company culture. We’re always encouraged to learn from each other and share ideas across teams, and this spirit of collaboration really permeates every interaction you’ll have.


Quantitative Trader

What are Optiver Perks + Benefits

Eat lunch together
Daily sync
Open door policy
Group brainstorming sessions
Open office floor plan
Hiring Practices that Promote Diversity
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Onsite Gym
Retirement & Stock Options Benefits
401(K) Matching
Performance Bonus
Match charitable contributions
Child Care & Parental Leave Benefits
Generous Parental Leave
Family Medical Leave
Company sponsored family events
Optiver hosts a family-oriented summer event.
Vacation & Time Off Benefits
Generous PTO
Paid Volunteer Time
Paid Holidays
Paid Sick Days
Perks & Discounts
Beer on Tap
Casual Dress
Commuter Benefits
Company Outings
Free Daily Meals
Game Room
Stocked Kitchen
Happy Hours
Professional Development Benefits
Tuition Reimbursement
Promote from within

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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