Sr Mgr, Compliance

Job Description:

Cboe Global Markets (“CGM” or “the Company”) is seeking a Sr. Manager – Marketing Compliance to be responsible for implementing and monitoring compliance controls, training, and education focused on global public-facing marketing under the guidance of CGM Compliance leadership. The ideal candidate has deep experience in the financial industry with marketing/advertising compliance and is committed to long-term development of policy and process controls related to marketing compliance.

CGM’s marketing compliance controls are designed to ensure that the Company abides by applicable global jurisdictional restrictions, regulatory standards (e.g., SEC, FINRA, IIROC, CFTC, ASIC), internal Company controls and best practices for promoting the Company’s brand, products, and services to the public. The Sr. Manager Marketing Compliance will have direct engagement with internal marketing content creators, review and approve proposed content, prepare subject matter training and guidance to staff, and manage related written policies, procedures, and controls.

Duties and Responsibilities:

• Primary point-of-contact monitoring the intake of global marketing content submissions via automated JIRA workflows.
• Primary Compliance reviewer of marketing content submissions including timely review, issuing disposition, determining escalation, and providing constructive feedback or corrections to content creators.
• Responsibility to train, assign, and monitor other Compliance staff on assisting with marketing reviews for cross-training, to manage high volumes, or as time sensitivity dictates.
• Collaborate with CGM’s Legal Department on foreign jurisdictional constraints, high-risk or sensitive marketing content, and maintenance of pre-approved disclaimers, trademarks, and copyrights applicable to CGM’s brand, products, or services.
• Own and maintain the CGM Marketing Review Procedure including making timely edits, conducting regular effectiveness reviews, and socializing material updates to impacted staff.
• Conduct periodic training and issue written guidance to content creators and certain staff in other public-facing roles on the Company’s marketing compliance review process, standards, and best practices.
• Maintain knowledge of the regulatory landscape, jurisdictional laws, industry rule changes, and best practices.
• Assist in collecting and preparing documentation for related regulatory inquiries, examinations, internal/external audits, or board/committee presentations.
• Build a thorough knowledge base and stay apprised of the Company’s brand initiatives, products, services, and affiliate business lines.
• Prepare metrics, document productions, or written responses for regulatory inquiries, examinations, audits, and board/committee presentations pertaining to marketing compliance processes and controls.
• Execute special project support, work and other duties for the CGM CCO and Compliance leadership in advancement of divisional goals, requirements, and objectives.

Education:

• Bachelor’s degree required.

Preferred Experience:

• 10+ years of experience supporting financial industry marketing compliance, with a strong interest in developing a long-term compliance focused career in a global organization.

Knowledge, Skills, and Abilities:

• Proficient in JIRA and Microsoft Office Suite
• Critical thinking, risk mitigation, and willing to provide negative feedback
• Knowledge of financial industry marketing rules and best practices involving marketing to the public
• Ability to:
  • Support and interact with a dynamic global work force
  • Able to operate efficiently in a hybrid work environment
  • Ability to manage periods of high volumes, meet deadlines, and prioritize competing projects
  • Learn new information quickly and independently

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 $131,750-$162,750. 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.