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 self regulatory organizations.

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
  • Legal authorization to work in the U.S. is required.  We will not sponsor individuals for employment authorization for this job opening

What you'll get:

25 days paid vacation; paid commuting expenses up to the maximum allowable amount; attractive bonus structure; training opportunities; generous 401K company match; fully paid health insurance premiums; breakfast, lunch, snacks and beverages provided daily; weekly in-house chair massages; casual dress; game room and more!