Senior Regulatory Specialist

Who you are

• Knowledge of financial markets and relevant exchange, SEC, CFTC, and other regulatory agency rules and requirements
• ​Experience with learning management systems and eLearning development tools, such as Articulate Storyline or Rise 360, is a plus
• BS in business, legal studies, finance, or a related field, or equivalent professional experience
• Experience supporting training initiatives, including learning management system administration, is a plus
• Paralegal Certificate preferred
• Five or more years of legal and/or financial markets experience in a professional, administrative or analyst role
• The ability to:
• Interact in a professional manner with internal and external contacts; use tact and diplomacy; maintain confidentiality; appropriately handle and communicate controversial or sensitive information
• Organize and express ideas clearly and understandably when speaking to individuals or groups; listen to others and respond appropriately
• Create well-written, organized presentation materials, correspondence and other documentation
• Organize and prioritize work assignments; complete multiple tasks timely, with accuracy and quality; adjust to changes in priorities and situations; readily accept new assignments, processes or technology as part of the job
• Be thorough and precise when accomplishing a task; double-check accuracy to consistently provide high-quality work product
• Work cooperatively in group situations; offer assistance and support to co-workers; balance team and individual responsibilities

What the job involves

• Join the Regulatory Advisor and Interpretations Department, within Cboe’s Regulatory Division, that helps advance the Division’s mission of creating trusted markets through regulatory program support, rule interpretation, and coordination of education and training initiatives
• A Senior Regulatory Specialist reports to the Regulatory Education, Training, and Compliance Team Manager and supports meaningful, high-impact work across regulatory program administration, Division education and training, policies and procedures, and certain Enforcement-related processes
• Help translate regulatory developments, including Cboe-affiliated U.S. Exchange rule filings, SEC and CFTC rulemaking, and other market structure changes into practical guidance, documented processes, and training that support effective regulatory oversight
• Contribute to a collaborative team that partners across the Division to keep regulatory programs current, consistent, and operationally effective
• Administer reviews of Cboe-affiliated U.S. Exchange rule filings, regulatory circulars, SEC and CFTC rulemaking, and other regulatory developments for potential impact on regulatory programs, in consultation with Regulatory Advisors. Maintain documentation attendant to this process
• Support Division education and training initiatives, including helping create, organize, update, and maintain training materials, job aids, videos, and related documentation, as needed
• Provide support for the learning management system, including course logistics, registrations, transcript updates, reporting, and related administrative functions
• Coordinate with Regulatory Advisors and other stakeholders to keep Division policies, procedures, job aids, and related documentation current with regulatory requirements, process changes, product launches, system enhancements, and updated trading procedures
• Track completion of various commitments and deliverables and assist with the administration of regulatory services agreements and other contract provisions
• Assist, as needed, with Enforcement-related processes including docket, fine and restitution tracking, status reporting, decision issuance, support for systems or repositories used to manage disciplinary matter information, and maintenance of related records
• Build and maintain knowledge of the regulatory environment, relevant rules and regulations, technologies and systems, operational processes, and surveillance, investigative, and examination techniques applicable to the Cboe-affiliated U.S. exchanges
• Work with RETC Manager, RAID team and Division management on special projects, taking a leadership role in assignments as appropriate
• Provide ad hoc support, and perform other duties as assigned