Senior Compliance Officer

Cboe Digital; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Cboe Europe is seeking a Senior Compliance Officer to lead the development and delivery of a risk-based Compliance framework, including the Compliance Monitoring Programme and independent second-line challenge. Based in London, you will join an experienced team overseeing the UK and Amsterdam businesses and coordinating with regulators.

You will provide guidance to the business, maintain policies, and report management information to governance forums, while building strong relationships with

Qualifications

• Bachelor’s degree or equivalent requirement.
• Experience in a compliance department at an exchange or regulated firm.
• Knowledge of UK and EU regulatory regimes.
• Strong analytical and problem-solving skills.
• Excellent written and verbal communication.
• Ability to work in a team and adapt to change.

Responsibilities

• Implement the risk-based Compliance Monitoring Programme (CMP).
• Deliver the periodic Compliance Risk Assessment as the CMP’s key driver.
• Stay up to date with UK and EU regulatory requirements.
• Assess the impact of regulatory changes on the business.
• Provide compliance guidance on new and existing regulations.
• Support new initiatives with regulatory impact assessments.
• Produce and maintain internal compliance policies and controls.
• Maintain relationships with regulators and keep them informed.
• Ensure regulatory filings are submitted on time.

Skills

Regulatory compliance

Under pressure

Multi-tasking

Trading knowledge

UK/EU regulatory regime

Troubleshooting

Teamwork

Communication skills

Technology adoption

Education

Bachelor's degree or equivalent

Job description

Job Description

Summary

The Senior Compliance Officer is responsible for the ongoing development and delivery of the risk-based Compliance framework at Cboe Europe, encompassing a Compliance Monitoring Programme, independent second-line challenge and oversight, provision of advice and guidance to the business, maintenance of compliance policies and procedures and the periodic reporting of management information to governance forums. Based in London, the successful applicant will be part of an experienced Compliance team, which has oversight of Cboe Europe’s businesses in the UK and Amsterdam and maintains the relationship with its regulatory bodies.

Location

London, UK

Responsibilities

Implement the risk-based Compliance Monitoring Programme (CMP)Deliver the periodic Compliance Risk Assessment, as the key driver of the CMPStay up to date with the latest UK and EU legislative and regulatory requirementsAssess the impact on the business of new and upcoming regulatory changesProvide compliance advice to the business with respect to new and existing regulationsProvide input to the business on new initiatives and projects and their impact on regulatory obligationsProduce, review and maintain, as required, internal compliance policies, procedures and controlsMaintain the relationship with regulatory bodies and keep them apprised of all required informationEnsure all regulatory filings with regulatory bodies, as required, are submitted on time.

Requirements

A bachelor’s degree or equivalentAbility to work well under pressure and adapt to changing situationsStrong multi-tasking and customer service skillsPrevious experience of working in a compliance department at an exchange or regulated firmFamiliarity with trading techniques and technologyKnowledge of current UK and EU regulatory regimeStrong troubleshooting, problem-solving and analytical skillsAbility to work well in a team environmentStrong written and verbal communication skillsA desire to embrace new technologies to enhance productivity and drive efficiencies.

About Cboe

At Cboe, we lead the industry globally in trading platforms, and tradeable products and services. We are committed to developing innovative products, delivering unparalleled service and offering cutting-edge trading technology. A career at Cboe means the chance to work for the industry leader and have a direct impact on Cboe’s continued success in the marketplace. The industry and technology professionals that make up the Cboe team are focused on keeping innovation and competition alive in the securities markets. We capitalise on our mix of seasoned and new talent to solve problems and bring solutions. 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.