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Compliance Risk Manager in Financial Markets
2 months ago
Overview
Optiver, a global market maker with offices worldwide, seeks a Compliance Risk Manager to join our China Compliance team. This role involves ensuring adherence to regulatory requirements in capital markets operations, particularly for equity trading and related derivatives trading.
Responsibilities
- Identify and assess compliance risks associated with business and operations, focusing on delivering second-line oversight of the capital markets trading business activities.
- Provide advice on regulatory matters and interpret regulations and exchange rules.
- Stay updated on regulatory changes and clearly interpret and explain rules and regulations to internal stakeholders.
- Implement and oversee trading surveillance systems to monitor and analyze trading activities for potential regulatory breaches or market abuses.
- Develop, revise, and enforce internal compliance policies, especially those related to trading activities.
- Regularly review and report on trading activities, highlighting issues or risks.
- Serve as the key contact for compliance and trading surveillance inquiries for equity trading and derivatives trading.
- Build and maintain relationships with regulatory bodies and external stakeholders.
- Ensure transparent communication and reporting practices.
Requirements
- Bachelor's degree in Law, Finance, Accounting, or a related field.
- Minimum 6 years' experience in a compliance role within capital markets, with good exposure in market operations and trading surveillance.
- Profound knowledge of equity and derivatives market regulations, surveillance systems, and trading practices.
- Strong analytical skills with attention to detail.
- Excellent written and oral English skills to articulate technical issues and effectively communicate with individuals across the business.
- Excellent communication and interpersonal skills.
Benefits
- A competitive salary ranging from $120,000 to $200,000 per annum, depending on experience.
- Daily office breakfast, lunch, snacks, sponsored gym membership, sports and leisure activities, weekly in-house chair massages, regular social events, clubs, and Friday afternoon drinks.
About Us
Optiver is an intentionally flat organization that believes great ideas and impact can come from everyone. We empower individuals and create diverse teams that thrive. Our commitment to diversity and inclusion is hardwired through every stage of our hiring process.
