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Cboe Global Markets · 1 day ago

Vice President, Regulatory Compliance

Chicago, IL

Full-time

Onsite

Director/Executive

$238K/yr - $294K/yr

15+ years exp

Cboe Global Markets is a leading provider of market infrastructure and tradable products, dedicated to building trusted markets. The Vice President, Regulatory Compliance is responsible for overseeing regulatory compliance activities, providing strategic direction, and leading a global team to ensure compliance with SEC and CFTC regulations.

BankingFinanceFinancial ServicesFinTechInsuranceStock Exchanges

Growth Opportunities

No H1B

U.S. Citizen Only

Responsibilities

Provide strategic leadership, direct management, and oversight to the compliance function for SEC and CFTC regulated entities

Oversee regulatory compliance for Cboe’s global regulated entities to ensure consistent regulatory standards, aligned compliance frameworks, and cohesive controls across jurisdictions

Lead and manage a team by developing annual team goals, coaching staff, and reviewing performance

Analyze and interpret relevant laws, rules, regulations, and regulatory enforcement actions to identify new and evolving compliance requirements or emerging compliance risks

Advise other departments on compliance with applicable rules, laws, and regulations, providing direction and guidance to ensure compliance

Build strong, collaborative relationships with stakeholders across all business functions

Participate in various committees and company-wide initiatives, providing trusted compliance support and expertise

Prepare written reports for senior management, directors, and regulators, and present at Board of Director and committee meetings, as needed

Oversee and coordinate examination processes, including facilitating responses

Identify opportunities, establish action plans, and drive solutions to continuously improve the compliance program

Collaborate with internal subject matter experts to identify, develop, and validate documentation

Draft and/or revise a broad range of documentation, including exam responses, policies and procedures, and training modules

Qualification

CFTC regulationsSEC regulationsSRO complianceFX Global CodeRegulatory complianceLeadershipWritten communicationVerbal communication

Required

At least 15 years of experience in senior compliance and/or legal roles within the financial services industry, demonstrating a high level of expertise in exchange and self-regulatory organization (SRO) compliance requirements

Preferably, this experience has been acquired through management-level positions with one or more of the following entities: regulators, exchanges, SROs, broker-dealers (BDs), or other highly regulated financial organizations

Extensive subject matter expertise of SEC, CFTC, SRO, BD, FX Global Code, and exchange regulatory rules and requirements

Demonstrated leadership capability to further build compliance infrastructure and develop a team of compliance professionals

Highly motivated, diligent, and organized leader who can quickly evaluate situations and make informed decisions and recommendations

Comfortable presenting to executive leadership and the Board of Directors

Excellent written and verbal communication skills, including the ability to write clearly and concisely for multiple audiences

Ability to use tact and diplomacy to serve as a liaison between Compliance and business lines to ensure collaboration and coordination and the ability to meet tight deadlines

Bachelor's degree required