Senior Compliance Officer

WHAT YOU'LL DO

We are seeking a highly skilled and experienced Compliance Officer to join our China Compliance team. This role is critical in ensuring full compliance with regulatory requirements governing capital market operations. The ideal candidate will have a deep understanding of local market regulations and strong capabilities in provide timely, trusted compliance advice and support in a fast-paced environment.

Key Responsibilities:

• Identify and assess compliance risks related to business and trading operations, with a focus on second-line oversight of capital markets activities.
• Act as a trusted advisor to internal stakeholders by providing regulatory advice and interpret applicable laws, regulations, and exchange rules.
• Monitor regulatory developments and clearly communicate changes, implications, and expectations to both on/offshore key stakeholders.
• Demonstrate strong understanding of trading behaviour and possess solid expertise in identifying potential market abuse activities.
• Develop, review, and enforce internal compliance policies, especially those governing trading activities.
• Regularly review trading activity, preparing reports that highlight compliance risks or potential issues.
• Act as the primary contact for equity and derivatives trading compliance and surveillance-related inquiries.
• Build and maintain effective working relationships with regulators and other external stakeholders.
• Ensure transparent communication and robust reporting practices across relevant teams.

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.
• In-depth knowledge of Chinese equity and derivatives markets, trading practices, and regulatory frameworks.
• Strong analytical, problem-solving, and decision-making skills with the ability to assess complex regulatory requirements with imperfect information and develop practical solution while providing keen attention to detail.
• Excellent verbal and written communication skills in English, with the ability to explain complex regulatory issues clearly to a wide range of stakeholders.
• Strong interpersonal skills and ability to work effectively in cross-functional/regional teams.

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

Optiver is committed to diversity and inclusion, and it 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.

Questions? Get in touch with the recruitment team at careers@optiver.com.au.

PRIVACY DISCLAIMER

Optiver 重视个人信息的保护。请您在提供个人信息给我们之前，认真阅读Optiver China Privacy Notice, 了解我们如何收集及处理您的个人信息。

Personal information protection is of utmost importance to Optiver. Before you provide any personal information to us, we strongly urge you to read Optiver China Privacy Notice for acknowledging how we collect and process your personal information.