Legal Compliance Analyst Onboarding Specialist

Who we are:

Optiver is a tech-driven trading firm and leading global market maker. As one of the oldest market making institutions, we are a trusted partner of 70+ exchanges across the globe. Our mission is to constantly improve the market by injecting liquidity, providing accurate pricing, increasing transparency and acting as a stabilising force no matter the market conditions. With a focus on continuous improvement, we participate in the safeguarding of healthy and efficient markets for everyone who participates.

Optiver Chicago’s culture parallels the energetic city we’re immersed in. Home to the Chicago Board of Trade, Chicago Board Options Exchange, and Chicago Mercantile Exchange, Chicago has established itself as the trading capital of the US. Active on leading US exchanges, Optiver’s Chicago office trades a wide range of products from listed derivatives to cash equities, ETFs, bonds and foreign exchange.

What you’ll do:

The Onboarding Specialist will develop and support all aspects of the institutional client/counterparty on-boarding lifecycle, including gathering due diligence information, responding to internal and external requests, and escalating issues when necessary. This person will assist and report to the Compliance Manager and CCO for the management of on-boarding policies and processes. The ideal candidate will be proactive and use a high-touch approach when engaging with institutional clients/counterparties.

  • Manage clear expectations and deliverables related to institutional client/counterparty onboarding processes
  • Onboard institutional clients/ counterparties, including KYC initial on boarding and annual account maintenance
  • Liaise with institutional clients/counterparties and internal stakeholders to ensure proper data and document collection
  • Exhibit ownership of on-boarding experience and institutional client/counterparty satisfaction
  • Drive the progress of each institutional client/counterparty engagement from start to finish
  • Direct onboarding activities with external institutional clients/counterparties via email, phone, or Zoom as needed
  • Analyze institutional client/counterparty information for alignment with policies and regulations
  • Assist with the drafting and maintenance of institutional client policies and account disclosures
  • Gather evidence of institutional client/counterparty profiles via documentary and non-documentary methods using in-house and external sources
  • Create and deliver summary reports to head traders and senior management
  • Provide Subject Matter Expertise for on-boarding requirements, Compliance processes, and regulatory requirements
  • Spearhead the continuous improvement of processes and procedures
  • Demonstrate creative and independent problem solving and decision making skills
  • Create and delivery summary report to head traders and senior management

Who you are:

  • Solid understanding of on-boarding legal entities and individuals within financial services
  • 2-5 years of relevant work experience with a trading firm, bank, or financial institution
  • Experience with KYC/compliance administration of an institutional client business partner
  • Specialized focus on reviewing on-boarding documents and executing approval processes for new relationships
  • Ability to communicate clearly, logically, and concisely both verbally and in writing with all audiences
  • Proven relationship management skills, especially within client-facing roles
  • Ability to manage and prioritize multiple ongoing projects in fast-paced, high-performing trading environment
  • Demonstrated research and analytical skills
  • Excellent eye for detail with a high level of integrity
  • Proactive approach to responding to stakeholder questions
  • Solution-driven mindset for improving processes and procedures in a team environment
  • Flexibility when faced with competing priorities and evolving situations
  • Strong time management skills with an emphasis on follow-through
  • Ability to organize and interpret data via Microsoft Office Suite

What you’ll get:

  • Work alongside best-in-class professionals from over 40 different countries.
  • Performance based bonus structure that is unmatched anywhere in the industry. We combine our profits across desks, teams and offices into a global profit pool fostering a truly collaborative environment to work in.
  • Ownership over initiatives that directly solve business problems.  

Alongside this you will get great other benefits such as 25 paid vacation days and market holidays, fully paid commuting expenses and health insurance, daily breakfast and lunch, training opportunities, 401(k) match up to 50% and charitable match opportunities, regular social events and clubs, and many more.