Senior Compliance Officer – Institutional Sales & Trading Advisory

Overview

In this role you will advise on regulatory, conduct, and financial crime matters for Optiver’s Institutional Sales & Trading in London. You’ll own advisory work, partner with the front office, and help shape the Global Compliance framework as the business expands. You will lead initiatives from start to finish and collaborate with Compliance colleagues across global offices. This is a hands-on, impact-driven role focused on turning complex rules into practical, business-friendly solutions. You’ll be part of a team that values rigorous risk assessment and continuous improvement.

Pay / Benefits

• performance-based bonus
• 27 days of vacation
• private medical insurance
• pension scheme
• training and conferences
• international transfer opportunities

Responsibilities

• Provide independent compliance advice to Institutional Sales & Trading, applying knowledge of trading workflows, counterparties, markets and applicable regulatory requirements
• Advise on sales and trading conduct, including counterparty interactions, communications, conflicts of interest, confidential information and cross-border activity
• Own financial crime assessments across counterparty onboarding, jurisdictions and trading activity, including AML and sanction risks, identifying controls and escalations
• Review external communications, marketing materials, presentations, and disclosures for accuracy and regulatory compliance
• Lead compliance input into new products, counterparties, markets and strategic initiatives, partnering with the business and control functions
• Assess surveillance escalations and potential conduct concerns; coordinate responses to regulatory and exchange inquiries, audits and information requests
• Monitor regulatory developments, maintain practical policies and guidance, deliver targeted training, and collaborate with global Compliance colleagues while supporting junior team members

Key requirements

• Significant relevant experience in Compliance, Legal, Risk or a control function within a financial institution
• Exposure to a trading floor environment, ideally within investment banking or institutional markets
• Strong understanding of regulatory, conduct and financial crime risks in institutional markets (sales conduct, conflicts of interest, confidential information, cross-border, AML, sanctions, due diligence)
• Experience advising front-office stakeholders directly
• Strong knowledge of financial markets, products, trading strategies and transaction workflows
• Experience across multiple jurisdictions (UK, EU, US) enabling cross-border compliance

• Credibility with senior market professionals
• Strong relationship-building across functions and geographies
• Independent judgment with constructive challenge
• Regulatory compliance advisory
• Financial crime risk assessment (AML and sanctions)
• Cross-border regulatory interpretation

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