Sr Regulatory Advisor

Description

Business Title : Senior Regulatory Advisor

Location : Chicago or Kansas City (flex hybrid)

Department : Regulatory

Reports To Job Title : VP, Regulation

Senior Regulatory Advisor

Job Summary

As Senior Regulatory Advisor you’d be joining a collaborative team of advisors that provide a variety of support services to Cboe’s U.

S. Regulatory Division. The team staffs the Regulatory Interpretations program providing well-researched responses to market participants’ rules-based questions, as well as Division staff conducting the day-to-day regulatory program.

In addition, The team assists with review of rule filings for regulatory program impact, drafting communications to members and regulators, regulatory trainings and other projects.

Responsibilities

• Build and maintain an understanding of the Exchanges’ regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative and examination techniques
• Keep abreast, and keep others informed, of latest regulatory developments that may impact regulatory programs
• Serve as a resource for the Division’s Regulatory Interpretations program. Analyze and research questions presented and applicable rules and requirements.

Effectively communicate responses in verbal or written form

Independently develop or collaborate with internal and external subject matter experts to develop, documentation for the Regulatory Division.

Review, draft and / or revise policies, procedures and a variety of other materials for the Division. Assist, along with others, in the review of policies and procedures of the Division’s service provider(s), including relevant surveillance, investigation and examination procedures.

• Draft circulars and educational materials related to rules and rule interpretations.
• Prepare responses to requests for regulatory information, such as those made by the SEC and CFTC.
• Execute projects independently and produce deliverables within established timeframes. Handle sensitive and complex issues with discretion and good judgment, and professionally interact with individuals across the organization.
• Provide advisor support for various other Division activities.

Knowledge, Skills and Abilities

General knowledge of securities industry, derivatives markets industry, and / or related rules and regulations, including SEC, CFTC, Cboe-affiliated U.

S. Exchange and / or other SRO rules and regulatory requirements; exchange data structures and regulatory design, including some systems elements

• Plan and prioritize work to meet objectives of multiple or competing priorities / projects; work concurrently on complex activities and tasks to accomplish goals;
• meet individual and / or team goals for high quality, on-time deliverables;
• Learn new information and concepts quickly and independently; take initiative to seek knowledge needed for the job or assignment;
• Evaluate, analyze, and summarize data and facts;
• Organize and express complex concepts clearly and understandably when speaking to individuals or groups or when conveying in written form;
• Be thorough and precise when accomplishing a task;
• Proof and edit for accuracy to consistently provide high quality work;
• Interact in a professional manner with internal and external contacts; maintain confidentiality; appropriately handle and communicate controversial or sensitive information; and
• Lead projects that involve multiple stakeholders, develop relationships and obtain cooperation or support of multiple departments or interests.

Required Qualifications

• Bachelor’s Degree and Juris Doctorate required (from an accredited institution)
• Member of applicable state bar required
• 5+ years of experience working at a law firm or at a corporation with a specialty related to securities exchange and / or derivatives markets regulation and compliance, other regulatory matters or related fields of law
• Experience writing policies, procedures and / or technical documentation; experience independently managing projects

Preferred Qualifications

Coursework, training or certification in one or more of the following areas a plus : Series examinations (SIE, 3, 4, 7, 57, 14 and / or 24), project management, business analysis, writing, editing and / or technical communications.

Benefits and Perks

We value the total wellbeing of our people including health, financial, personal and social wellness. We believe standard benefits like health insurance and fair pay are a given at any organization.

Still, you should know we offer :

• Fair and competitive salary and incentive compensation packages with an upside for overachievement
• Generous paid time off, including vacation, personal days, sick days and annual community service days
• Flexible, hybrid work environment, where you choose where and how you work
• Health, dental and vision benefits, including access to telemedicine and mental health services
• 2 : 1 401(k) match, up to 8% match immediately upon hire
• Discounted Employee Stock Purchase Plan
• Tax Savings Accounts for health, dependent and transportation
• Employee referral bonus program
• Volunteer opportunities to help you give back to your communities

Some of our employees’ favorite benefits and perks include :

• Complimentary lunch, snacks and coffee in any Cboe office
• Paid Tuition assistance and education opportunities
• Generous charitable giving company match
• Paid parental leave and fertility benefits
• On-site gyms and discounts to other fitness centers

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Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter.

Cboe does not use any otherthird party communication tools for recruiting purposes.