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Senior Compliance Officer

3 months ago

Chicago, United States Optiver Full time
Who we are:

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 we are looking for:

Optiver is looking for an experienced Senior Compliance Officer with a strong understanding of systematic options, equities, and futures trading to join our dynamic Compliance department. As the Senior Compliance Officer, you will carry out a variety of responsibilities that supports the Firm's U.S. based compliance efforts and trading businesses. The ideal candidate will be self-motivated and use an analytical skillset to support ongoing compliance needs and initiatives within the team and firm.

What you'll do:
  • Provide first-line trading compliance advisory support to the firm's automated trading and market-making operations.
  • Partner with quantitative researchers, trading system developers, traders, and trading operations teams to provide real-time and strategic compliance guidance and support.
  • Coordinate and prepare responses to formal investigations and other regulatory inquiries from various exchanges and FINRA.
  • Assist with the management and coordination of regulatory exams and audits.
  • Identify areas of compliance and regulatory risk, and draft or update compliance written supervisory procedures to address areas of risk.
  • Develop, refine, and implement internally designed exception reports.
  • Review and clarify proposed industry rules for applicability.
  • Facilitate rule interpretation, continuing education, and best business practices through training and issuance of compliance memos.
  • Provide regulatory advice on new business initiatives.
What you'll need:
  • Bachelor's degree required; a law degree is a plus.
  • At least 7 years of experience in a compliance function that directly supports a professional automated trading business.
  • Experience providing compliance advice to trading desks, quantitative research teams, developers, and trading operations personnel under pressure and time constraints.
  • Strong understanding of U.S. options, equities, and futures market structures.
  • Familiarity with low latency trading systems, strategies, techniques, and concepts.
  • Strong understanding of U.S. regulations and exchange rules applicable to market makers, with a keen ability to translate rule knowledge into practical guidance, policies, and procedures.
  • Ability to manage and prioritize multiple ongoing projects in a fast-paced, high-performing trading environment.
  • Ability to regularly assess the efficiency of control systems and recommend effective improvements.
  • Demonstrates a high level of technical aptitude and integrity.
  • Ability to operate effectively in a team environment.
  • 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.
  • Series 57 preferred.
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.

Additionally, you'll 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.

At Optiver, we are committed to creating a diverse and inclusive environment of mutual respect. Optiver recruits, employs, trains, compensates and promotes regardless of race, religion, color, sex, gender identity, sexual orientation, age, physical or mental disability, or other legally protected characteristics.