Senior Compliance Officer

Senior Compliance Officer
(more about Optiver)

Job Description

 An exciting opportunity now exists for a self-motivated, ambitious individual with 10+ years’ compliance experience to join the team as the organisation continues to grow.

 

WHO WE ARE:

Optiver is a proprietary high speed and quantitative trading firm trading in financial instruments across numerous global markets.

Our mission statement is to “improve the market”. This mission guides us as we seek excellence in pricing, trade execution and risk management to grow sustainably. 

Across all aspects of our business, we want to strengthen how we:

  • Industrialize the management of known risks;
  • Identify and manage new and emerging risks.

Optiver operates in a highly regulated and complex industry, and interacts regularly with exchanges, regulators, intermediaries and other third parties in Hong Kong.   

We have ambitious growth plans in APAC and globally, including growing existing products, entering new markets and asset classes, accessing more sources of trade flows, expanding our physical presence into new locations and growing our workforce to cater for this.

 

WHAT YOU’LL DO:

The Compliance HK team is growing and looking for an exceptional individual to support the business to reach the next level of success within a mature control framework environment.  Our tasks include:

  • Assist COO in managing all regulatory compliance issues, providing assurance to the management that regulatory compliance risks are managed effectively;
  • Provide expert and high quality HK compliance and regulatory advice to enable the business to grow while remaining within Optiver's risk appetite;
  • Handle and advise on regulatory enquiries and matters including liaising with regulators;
  • Assist in the regulatory audits by local regulators;
  • Manage and coordinate internal peer reviews;
  • Mature the Compliance Control Framework;
  • Potential to  director/RO of the HK entity and oversee HK business.

Focus Markets: Stock Exchange of Hong Kong, Hong Kong Futures Exchange and Stock Connect markets, at times supporting Compliance teams in other APAC offices.   

 

WHO YOU ARE:

  • 10+ years work experience, of which at least 6 years Compliance experience in regulatory authority or a financial institution and at least 2 years management experience
  • Experienced in advising on Hong Kong regulatory Compliance and interacting with regulatory bodies
  • In depth knowledge of HKEx rules and regulations as well as SFO, SFC codes and guidelines
  • Willing to work independently and work in ambiguity and fast-changing environment
  • Fluent in Cantonese and English; Proficiency in Putonghua is a plus
  • RO/LR is a plus
  • Structured and pragmatic approach to solving problems.

 

WHAT YOU’LL GET:

  • Strong control culture.  Compliance are truly a partner to the business.  We are decision makers.  We advise on key initiatives and opine on Compliance risk management.  
  • Collaboration and transparency are cornerstones of our culture.  We believe our best work is done by deeply understanding our trading and technology.  You will work with people across all departments who have a diverse set of experiences and skills. 
  • You will get a lot of responsibility and have the potential to deliver direct, strong impact.  You will be part of and supported by a Compliance A-team across APAC comprising world experts with experience in trading, law, regulator, exchange and investment banks. 
  • Support from a dedicated IT team who build first class tooling to support our operation.
  • Gym membership
  • Food allowance
  • Regular social events

 

As an intentionally flat organisation, 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.