Senior Compliance Officer

1 week ago

Shanghai, China Optiver Full time

WHO WE ARE

Optiver is a global market maker with offices in Amsterdam, London, Chicago, Austin, Sydney, Shanghai, Hong Kong, Singapore and Taipei. Founded in 1986, today we are a leading liquidity provider, with close to 2,000 employees in offices around the world, united in our commitment to improve the market through competitive pricing, execution and risk management. By providing liquidity on multiple exchanges across the world in various financial instruments, we participate in the safeguarding of healthy and efficient markets. We provide liquidity to financial markets using our own capital, at our own risk, trading a wide range of products: listed derivatives, cash equities, ETFs, bonds and foreign currencies.

Since its establishment in 2012, our Shanghai office is a rapidly growing participant in the Chinese markets, trading exchange-listed futures, options and equities in China mainland. Our vision is to become the trusted partner in the development of Chinese financial markets. With the culture of a start-up but the backing of a 35+ year-old trading firm, Optiver is truly unique. Everyone who joins us will help shape the future of our company and its global impact. Get ready: we are only just beginning.

WHAT YOU'LL DO

We are seeking a highly skilled and experienced Compliance Officer to join our China Compliance team. This role involves ensuring adherence to all regulatory requirements in capital market operations, particularly for equity trading and related derivatives trading. The ideal candidate will possess a deep understanding of local equity and derivatives market rules and regulations, and the ability to effectively provide trusted compliance support in a fast-paced environment.

Key Responsibilities:

Contribute to identify and assess compliance risks associated with business and operations; specific focus on delivering second line oversight of the capital markets trading business activities. Contribute to provide advice on regulatory matters and interpretation of regulations and exchange rules. Stay updated on regulatory changes and be capable to clearly interpret and explain rules and regulations to internal stakeholders. Possess good understanding of trading behaviours and contribute to Implement and oversee trading surveillance systems to monitor and analyse 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.

WHO YOU ARE

Bachelor’s degree in Law, Finance, Accounting, or a related field. Minimum of 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.

WHAT YOU'LL GET

The chance to work alongside best-in-class professionals Training, mentorship and personal development opportunities Daily office breakfast, lunch, snacks etc Sponsored gym membership, sports and leisure activities, plus weekly in-house chair massages Regular social events, clubs and Friday afternoon drinks

DIVERSITY STATEMENT

As an intentionally flat organization, we believe that great ideas and impact can come from everyone. We are passionate about empowering individuals and creating diverse teams that thrive. Every person at Optiver should feel included, valued and respected, because we believe our best work is done together.

Our commitment to diversity and inclusion is hardwired through every stage of our hiring process. We encourage applications from candidates from any and all backgrounds, and we welcome requests for reasonable adjustments during the process to ensure that you can best demonstrate your abilities.

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