Regulatory Training and Compliance Specialists.

Job Description:

Position Summary:

The Regulatory Specialist supports the Regulatory Education, Training and Compliance (RETC) team of the Regulatory Advisor and Interpretations Department (RAID). This role focuses on developing and maintaining training content for the Cboe Regulatory Division associate education and training program, and supporting other RAID functions.

In addition to organizing and directing the Division’s education and training program, RAID’s other functions within the Division include overseeing Cboe’s regulatory interpretations program through which Members seek interpretations of Cboe Rules, advising Division staff on Cboe Rules, preparing and issuing regulatory circulars, evaluating the impact of rule changes on regulatory programs, developing and maintaining Division policies and procedures, coordinating communications with the SEC and CFTC, administering various certification processes, and managing records catalogues and processes.

Duties and Responsibilities:

Perform a combination of the following:

• Create and update on-demand and live training content for Division staff who support regulatory programs for the Cboe-affiliated U.S. equities, options and futures exchanges.
• Ensure content accurately and effectively conveys applicable rules and requirements and learning objectives for specific topics and audiences.
• Review and refresh training materials regularly, identifying new training opportunities.
• Provide administrative support for the learning management system (LMS).
• Assist Regulatory Advisors with the administration of rule-based impact reviews of regulatory programs and maintain documentation. This would include tracking exchange rule filings and circulars, SEC and CFTC rulemaking, and various other regulatory developments, and maintaining rules matrixes of our regulatory programs.
• Coordinate with Regulatory Advisors and others who evaluate policies and procedures to maintain documentation current with process and related requirements.
• Support the preparation of regulatory communications and routine responses to requests for information.
• Track commitments and assist in regulatory services agreements and other contract administration.
• Stay informed about the regulatory environment, rules, technologies and processes, and surveillance, investigative, and examination techniques.
• Lead special projects and other assignments.
• Cross-train with other RETC Team members and provide ad hoc support.
• Perform administrative tasks such as organizing meetings and booking travel.

Qualifications:

• BS (or AA) degree in business or equivalent experience.
• Paralegal Certificate preferred.
• 5+ years of legal and/or financial markets experience.
• Experience in a legal, regulatory, or compliance role preferred.
• Experience in designing and delivering training content.
• Experience in LMS administration is a plus.

Knowledge, Skills and Abilities:

• Understanding of financial markets, as well as rules and regulations of exchanges and regulatory agencies.
• Excellent written and oral communication skills.
• Ability to create clear and concise, organized documentation and presentation materials.
• Strong organizational and prioritization skills.
• Team-oriented with professional interpersonal skills.
• Experience with operating computerized training and using eLearning development tools (e.g., Articulate Storyline, Rise 360).
• Proficient in MS Office software (PowerPoint, Word, Excel, Outlook).

Our pay ranges are determined by a number of factors, including, but not limited to, role, experience, level, and location. The national new hire base pay range for this job in the United States is $76,500-$94,500. This range represents the minimum and maximum base pay the company expects to offer for new hires working in the position full time. If you live in one of the following areas or if you work in a Cboe office in the following areas, the range may be higher according to the geographic differentials listed below:

Within the range, individual pay is determined by a number of factors, including, but not limited to, work location, job-related skills, experience, and relevant education or training. In addition to base pay, our total rewards program includes an annual variable pay program and benefits including healthcare (medical, dental and vision), 401 (k) with a generous company match, life and disability insurance, paid time off, market-leading tuition assistance, and much more! Your recruiter will provide more details about the total compensation package, including variable pay and benefits, during the hiring process. For further information on our total rewards program, visit TOTAL REWARDS @CBOE.

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.