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.