Job Description

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 other third party communication tools for recruiting purposes.