Manager, Listing Qualifications



Multiple locations
Posted on Thursday, November 2, 2023

Job Description

The Cboe Legal Division is actively seeking a highly motivated individual to join our Listing Qualifications team. This individual will support various legal, regulatory, and operational functions of Cboe’s listings business.

Job Responsibilities:

  • Perform thorough due diligence reviews on corporate-issued securities applying to list on Cboe BZX Exchange (the “Exchange”);
  • Complete periodic continued listing assessments of securities listed on the Exchange;
  • Receive and review material news disclosures. Implement temporary trading halts when necessary. Ensure strict security measures of material non-public information;
  • Perform surveillance, using the SMARTS platform, on securities listed on the Exchange to ensure fair and orderly trading;
  • Complete assigned ad-hoc reviews;
  • Collaborate with legal counsel on Exchange listing rule interpretations;
  • Receive corporate action announcements from issuers and report such information to market participants;
  • Actively participate in team projects, discussions and problem solving;
  • Actively participate in training/continuing education opportunities and meetings; and
  • Collaborate and communicate with cross-functional teams, particularly the Listings sales team and the various Cboe technology teams.


  • Prior experience in corporate capital markets, whether employed by a national securities exchange, an investment bank, securities law firm, or similar;
  • Bachelor's Degree or equivalent;
  • Ability to analyze company financial statements and security registration filings;
  • Exceptional written, analytical, and customer service skills;
  • High level of organization and attention to detail;
  • 3+ years of experience in the securities and trading industry (preferred);
  • Experience in a regulatory, compliance, and/or legal environment (preferred);
  • Must be proficient in Microsoft Office suite;
  • Must be able to communicate with all levels of management and staff; and
  • Must be a strong team player and self-motivated.

The Cboe Experience

Whether you are just beginning your career or are a senior-level professional, working at Cboe will offer you countless opportunities to develop skills, make an impact through meaningful contributions, and gain rich experiences at an accelerated pace. By working collaboratively with smart, genuine and hardworking colleagues, you will build enduring relationships through frequent collaboration that will serve you well throughout your career, regardless of your chosen path. And, along your exceptional career journey at Cboe you’ll receive amazing benefits and robust rewards.

Equal Employment Opportunity
We're proud to be an equal opportunity employer - and celebrate our associates' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status.

As required by the New York City Human Rights Law, Cboe provides a reasonable range of minimum base salary for roles that may be performed in New York City. Actual compensation is influenced by a wide array of factors including but not limited to geographic location, skill set, level of experience, etc. For New York City only, the range of starting base salary for this role is $121,500-$178,200. Additional incentive compensation and benefits may be available.



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.