Sr. Regulatory Specialist

Insight Global; Chicago (IL); On-site; USD 70,000 - 100,000; Full time

Job summary

Insight Global is seeking an experienced regulatory/compliance-oriented professional with 5+ years in legal or financial markets to support regulatory education, training materials, and documentation across Cboe-affiliated exchanges in the U.S.

Responsibilities include maintaining regulatory documentation, LMS support, course logistics, and coordination with Regulatory Advisors to keep policies current with evolving rules and procedures.

Qualifications

• 5+ years of legal and/or financial markets experience in a professional, administrative or analyst role.
• Change management experience and strong documentation skills
• Strong organizational & communication skills
• Knowledge of financial markets and relevant exchange, SEC, CFTC, and other regulatory agency rules and requirements.
• BS in business, legal studies, finance, or a related field, or equivalent professional experience.
• Experience with Excel and Sharepoint

Responsibilities

• 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.
• Provide ad hoc support, and perform other duties as assigned.

Skills

Legal/financial markets experience

Change management

Organizational & communication skills

Regulatory knowledge (SEC/CFTC)

Education

BS in business, legal studies, finance, or related field

Tools

Excel

SharePoint

Articulate Storyline

Rise 360

LMS administration

Job description

• 5+ years of legal and/or financial markets experience in a professional, administrative or analyst role.
• Change management experience and strong documentation skills
• Strong organizational & communication skills
• Knowledge of financial markets and relevant exchange, SEC, CFTC, and other regulatory agency rules and requirements.
• BS in business, legal studies, finance, or a related field, or equivalent professional experience.
• Experience with Excel and Sharepoint

Plusses:

• Paralegal Certificate
• Experience supporting training initiatives, including learning management system administration
• Experience with learning management systems and eLearning development tools, such as Articulate Storyline or Rise 360

Day to Day:

• 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.
• Provide ad hoc support, and perform other duties as assigned.