Senior Regulatory Specialist

Cboe; Chicago (IL); On-site; USD 90,000 - 130,000; Full time

Job summary

Cboe is seeking a Senior Regulatory Specialist to join the Regulatory Advisor and Interpretations Department within the Regulatory Division. You will translate regulatory developments into practical guidance, coordinate education and training initiatives, and support enforcement-related processes.

Role requires extensive experience in legal/financial markets, regulatory rules, and learning management systems; the team collaborates to keep programs current and effective, with strong emphasis on

Qualifications

• BS in business, legal studies, finance, or related field, or equivalent professional experience.
• Experience with learning management systems and eLearning tools (Articulate Storyline or Rise 360) is a plus.
• Ability to organize and prioritize tasks, handle multiple tasks timely and accurately, adapt to changes.
• Five+ years of legal and/or financial markets experience in a professional/analyst role.
• Paralegal Certificate preferred.
• Interact professionally, maintain confidentiality, and handle sensitive information tactfully.
• Knowledge of financial markets and exchange, SEC, CFTC rules and requirements.

Responsibilities

• Translate regulatory developments into practical guidance, documented processes, and training materials.
• Support regulatory program administration and education/training initiatives.
• Assist with enforcement-related processes including docket and record maintenance.
• Maintain and update training materials, job aids, and related documentation.
• Support learning management system administration: course logistics, registrations, transcripts, reporting.

Skills

Regulatory knowledge

Learning management systems

Organizational skills

Financial markets knowledge

Communication and presentation

Confidentiality

Compliance enforcement exposure

Education

BS in business/legal studies/finance

Paralegal Certificate

Equivalent professional experience

Job description

• 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

Experience with learning management systems and eLearning development tools, such as Articulate Storyline or Rise 360, is a plusBS in business, legal studies, finance, or a related field, or equivalent professional experienceThe ability to: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 jobExperience supporting training initiatives, including learning management system administration, is a plusWork cooperatively in group situations; offer assistance and support to co-workers; balance team and individual responsibilitiesFive or more years of legal and/or financial markets experience in a professional, administrative or analyst roleBe thorough and precise when accomplishing a task; double-check accuracy to consistently provide high-quality work productCreate well-written, organized presentation materials, correspondence and other documentationOrganize and express ideas clearly and understandably when speaking to individuals or groups; listen to others and respond appropriatelyParalegal Certificate preferredInteract in a professional manner with internal and external contacts; use tact and diplomacy; maintain confidentiality; appropriately handle and communicate controversial or sensitive informationKnowledge of financial markets and relevant exchange, SEC, CFTC, and other regulatory agency rules and requirements