Senior Compliance Officer – Institutional Sales & Trading Advisory

The role

You will provide independent compliance advice to the Institutional Sales & Trading business in London. You will advise on sales and trading conduct, financial crime assessments, and regulatory requirements while working closely with the front office.

What you will do

• Provide independent Compliance advice to Institutional Sales & Trading
• Advise on sales and trading conduct including counterparty interactions and communications
• Take ownership of financial crime assessments across counterparty onboarding and trading activity
• Review external communications, marketing materials, presentations, and disclosures
• Lead Compliance input into new products, counterparties, markets and strategic initiatives
• Assess relevant surveillance escalations and potential conduct concerns
• Coordinate responses to regulatory and exchange enquiries, audits and information requests
• Monitor regulatory developments and maintain practical policies and guidance
• Deliver targeted training
• Collaborate with global Compliance colleagues and support junior team members

Required qualifications

• Significant relevant experience in Compliance, Legal, Risk or another control function within a financial institution
• Exposure to a trading floor environment
• Strong understanding of regulatory, conduct and financial crime risks in institutional markets
• Experience advising front-office stakeholders directly
• Strong understanding of financial markets
• Ability to take ownership of complex matters with limited oversight
• Experience guiding junior colleagues, delegating effectively, and providing constructive feedback

Nice to have

• Experience within an investment bank or other institutional markets business
• Experience across equities, FX, fixed income, or commodities
• Experience working across multiple jurisdictions, particularly the UK, EU and/or US

Benefits

• Performance-based bonus structure from a global profit pool
• 27 paid vacation days plus all UK public holidays
• Daily breakfast and lunch
• Support on commuting expenses
• Private medical insurance
• Pension scheme
• ClassPass fitness membership
• Training and continuous learning opportunities
• Access to conferences and tech events
• International transfer opportunities

About the company

Optiver is a market making institution that aims to improve the market by injecting liquidity, providing accurate pricing, and increasing transparency. They are a partner of 70+ exchanges across the globe.