Compliance Specialist

Insight Global; Chicago (IL); On-site; USD 110,000 - 160,000; Full time

Job summary

Insight Global is seeking a Senior Specialist, CCUS Compliance to support the CCUS Compliance program under the Director. The role covers policy development, regulatory filings, and audit responses with cross-functional collaboration across business, risk, operations, technology, and legal.

Ideal candidates bring 5+ years in clearing or related regulatory work, strong MS Office skills, and experience with SEC/CFTC inquiries, plus the ability to manage multiple priorities in a dynamic environment.

Qualifications

• Minimum of five years of experience in the clearing industry, including working with regulators.
• Proficiency in MS Office (Word, Excel, Outlook, PowerPoint) and familiarity with Jira, SharePoint and Confluence.
• Bachelor's degree required; strong regulatory analysis and written communication skills.

Responsibilities

• Analyze and draft policies and procedures and provide recommendations to address gaps.
• Communicate with CCUS management and boards about compliance matters with clear presentations.
• Draft regulatory filings and reports to authorities including SEC and CFTC.
• Coordinate responses to audits and regulatory inquiries; track corrective actions.
• Support remediation and risk assessments; build relationships across functions.
• Assist with training development and department projects as needed.

Skills

MS Office

Regulatory analysis

Communication

Cross-functional collaboration

Education

Bachelor's degree

Tools

Jira

SharePoint

Confluence

Job description

Job Description

The Compliance team is hiring a Senior Specialist, Cboe Clear US ("CCUS") Compliance. Cboe Clear US is a clearinghouse registered with the Commodity Futures Trading Commission (CFTC) as a Derivatives Clearing Organization (DCO) and is applying to the Securities and Exchange Commission (SEC) to become a Covered Clearing Agency. As a Senior Specialist, CCUS Compliance, you will report directly to the Director, CCUS Compliance. You will work with cross-functional teams, including business, risk, operations, technology, and legal, to support the continued development of a strong compliance program through regulatory analysis, policy and procedure development, control enhancement, issue tracking, and regulatory examination and inquiry response. The ideal candidate will bring a strong understanding of clearing compliance, and the ability to proactively manage multiple priorities in a dynamic regulatory environment.

Your responsibilities, under the direction of the Director, CCUS Compliance, will include:

• Analyze and draft policies and procedures, and provide and implement recommendations to address gaps, enhance controls, and improve effectiveness.
• Effectively communicate with CCUS management including CCUS designated committees, CCUS Regulatory Oversight Committee, and the Board of Directors about compliance related matters impacting CCUS. Communications including oral and written presentations including preparation and review of compliance materials submitted to the Board of Directors and the committees.
• Draft and submit CCUS compliance-related reports and other regulatory filings to regulatory authorities, including market disruption notices, system incident reports, system change filings, and annual compliance reports.
• Coordinate and draft timely responses to internal and external audits, and to SEC and CFTC inquiries and examinations.
• Assist in tracking regulatory commitments, corrective actions, and remediation plans to ensure timely completion, effective implementation, and ongoing compliance with regulatory requirements.
• Build and maintain strong relationships with clearing business, operations, legal, and other personnel.
• Conduct and prepare written analyses of relevant laws, rules, regulations, and regulatory actions, to identify current and changing compliance requirements, including emerging compliance risks.
• Assist with oversight and execution of key second line compliance activities for CCUS, including risk assessments, monitoring, testing, control evaluations, and the identification and escalation of compliance risks.
• Support other Compliance department functions, including associate training development, cross-functional initiatives, and department projects, as needed.

Skills and Requirements

• A minimum of five years of experience in the clearing industry, including experience with an FCM, exchange, broker-dealer, the CFTC, the SEC, NFA, or FINRA.
• Proficiency in MS Office software (Word, Excel, Outlook, Power Point); familiarity with Jira, SharePoint, and Confluence is strongly preferred.
• Familiarity with laws and regulations governing derivatives clearing organizations, with a strong ability to provide guidance and direction on related issues.
• Self-motivated with the ability to effectively manage competing priorities and deadlines.
• Highly collaborative with a demonstrated ability to build strong relationships across business, legal, risk, and operational teams.
• Agile and adaptable, with the ability to learn new regulatory requirements, business processes, and technologies quickly.
• Excellent written and verbal communication skills, including the ability to present complex information clearly and concisely.

Education

• Bachelor's degree required.

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal employment opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment without regard to race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to [e-mail].