Vice President, Regulatory Compliance

Cboe Global Markets•Chicago, IL

About The Position

Building trusted markets — powered by our people At Cboe Global Markets, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting-edge trading, clearing and investment solutions to market participants around the world. We’re building meaningful ways to support professional and personal development while strengthening the trust we’ve earned as a global market leader. Our teams are empowered to share ideas, actively pursue them and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to “go for it” and equip our managers with the training to coach their teams to the next level. We strive to provide employees a safe space to network, share ideas and create opportunities. Sound like the place for you? Join us! Vice President, Regulatory Compliance The Vice President, Regulatory Compliance (“VP”) is a senior leader responsible for overseeing regulatory compliance activities within the Compliance Department. This role requires extensive knowledge of CFTC rules and regulations regarding DCMs, DCOs, and SEFs, as well as familiarity with the FX Global Code. The VP must also possess a deep understanding of SEC rules and regulations governing exchanges, and be knowledgeable about FINRA regulations related to Broker-Dealer operations of an ATS. Reporting directly to the Chief Compliance Officer (“CCO”), the VP serves as a strategic partner and trusted advisor to the CCO, executive leadership, and other cross-functional teams. The VP provides strategic direction for the overall compliance function and leads a global team of compliance associates. Leveraging deep expertise, the VP drives innovative compliance strategies and solutions, delivering significant value across the organization. This position offers a unique opportunity to help shape the future of compliance, and achieve impactful results.

Requirements

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.

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.