Position Details

Compliance Analyst
Optiver Department Business Operations
Location Chicago
Apply Now

Title: Compliance Analyst 

Location: Chicago
 
Who we are:
Optiver is a proprietary global market maker, trading on major financial markets around the world. We opened our first office in Amsterdam and now have locations in Chicago, Shanghai, and Sydney. We employ over 900 highly educated professionals worldwide who are continuously improving the way we work and striving for excellence in everything we do. Being good is not good enough, and it is every employee’s responsibility to make our company better. Founded in 1986, Optiver has been profitable every year of its existence.

What we are looking for:
Optiver is currently pursuing an experienced Compliance Analyst with an understanding of options and futures. This person will assist and report to the CCO for all compliance management.  This role will require an individual to be self-motivated, think analytically, able to work under pressure, and have a strong work ethic. The ideal candidate will have experience in dealing with regulatory inquiries that may include the SEC, FINRA, CME, CFTC, and U.S. Self-Regulatory Originations.

What you’ll do:
Conduct reviews of employees’ outside brokerage accounts and outside business activities
Manage form filings, securities registration/licensing, and SRO Exchange registration through the FINRA Web CRD portal
Provide initial and ongoing compliance training to management and staff, including but not limited to preparing routine educational presentations
Monitor firm-wide communications
Maintain accurate compliance records that allow the team to quickly address potential areas of concern
Work in a fast paced trading environment with a heavy technology focus that will require interaction with IT and operational staff
Assist in the preparation of regulatory filings, including responses to inquiries

What you’ll need:
Bachelor’s degree in related field
Minimum of two years’ experience in a Compliance function
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
Ability to work in a fast-paced environment and handle multiple projects at a time
Series 7 required within 90 days of employment